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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2010-05-11
TX RA APPROVED_RES 2005-04-28
CA RA APPROVED 2001-08-17
  • MI RA
    APPROVED
    Since 2010-05-11
  • TX RA
    APPROVED_RES
    Since 2005-04-28
  • CA RA
    APPROVED
    Since 2001-08-17

Branch Locations

250 Monroe Ave Nw, Grand Rapids, MI 49503 • 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 San Francisco CA 03/2001 Present
  • 03/2001 → Present
    Merrill Lynch,Pierce,Fenner & Smith Incorporated
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-07-12
S63 Uniform Securities Agent State Law Examination 2000-09-08
  • S66 Uniform Combined State Law Examination
    2001-07-12
  • S63 Uniform Securities Agent State Law Examination
    2000-09-08

View on SEC IAPD

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