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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2002-05-01
  • NJ RA
    APPROVED
    Since 2002-05-01

Branch Locations

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

One Bryant Park, New York, NY 10036 • 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 06/2001 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-08-25
S63 Uniform Securities Agent State Law Examination 2000-10-03
  • S65 Uniform Investment Adviser Law Examination
    2001-08-25
  • S63 Uniform Securities Agent State Law Examination
    2000-10-03

View on SEC IAPD

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