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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2010-08-05
  • RI RA
    APPROVED
    Since 2010-08-05

Branch Locations

3400 Pawtucket Ave Central Business Review Unit, Riverside, RI 02915 • United States

525 Washington Blvd Central Business Review Unit, Jersey City, NJ 07310 • United States

Warwick, RI • 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 Lincoln RI 10/2009 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-07-28
S63 Uniform Securities Agent State Law Examination 2000-11-28
  • S66 Uniform Combined State Law Examination
    2010-07-28
  • S63 Uniform Securities Agent State Law Examination
    2000-11-28

View on SEC IAPD

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