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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 2009-11-12
  • RI RA
    APPROVED
    Since 2009-11-12

Branch Locations

670 George Washington Hwy, Lincoln, RI 02865 • 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 Lincoln RI 10/2009 Present
Previous Registrations
  • 2004-10-20 → 2008-06-30
    Banc Of America Investment Services, Inc.
    Lincoln, RI
    Lincoln, RI
    Lincoln, RI
  • 2004-07-21 → 2004-10-20
    Quick & Reilly, Inc.
    Lincoln, RI
  • 2003-06-02 → 2003-09-11
    Td Ameritrade, Inc.
    Providence, RI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-04-23
  • S66 Uniform Combined State Law Examination
    2001-04-23

View on SEC IAPD

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