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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2023-06-16
NJ RA APPROVED 2004-09-01
TX RA APPROVED_RES 2004-07-28
  • PA RA
    APPROVED
    Since 2023-06-16
  • NJ RA
    APPROVED
    Since 2004-09-01
  • TX RA
    APPROVED_RES
    Since 2004-07-28

Branch Locations

1100-1800 American Blvd Ci Relationship Management, Pennington, NJ 08534 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pennington NJ 06/2002 Present
Bank Of America, N.A. Pennington NJ 12/2017 Present
Other Businesses

I*8458 For profit or not for profit: Name of outside business organization: Rental property Investment related: Address of business: Philadelphia, Pennsylvania 19115 Nature of business: , Position, title, association: , Start date of relationship: 7/1/2017 Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-09-18
  • S66 Uniform Combined State Law Examination
    2000-09-18

View on SEC IAPD

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