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Saul Katz

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Lynbrook, NY

Brooklyn, NY

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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 2024-07-15
NY RA APPROVED 2021-04-19
TX RA APPROVED_RES 2015-09-02
  • PA RA
    APPROVED
    Since 2024-07-15
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2015-09-02

Branch Locations

266 Merrick Rd, Lynbrook, NY 11563 • United States

474 Fulton St, Brooklyn, NY 11201 • 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 Forest Hills NY 08/2001 Present
Bank Of America,N.A. Forest Hills NY 09/2009 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-10-16
S63 Uniform Securities Agent State Law Examination 2001-06-18
  • S66 Uniform Combined State Law Examination
    2001-10-16
  • S63 Uniform Securities Agent State Law Examination
    2001-06-18

View on SEC IAPD

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Other Investors

STUART ROBERT SCHOENFELD
FRANCESCA ARLIA
JOHN Pierce JONZA
RAVIT KAYE
JEREMY ADAM JACOBS
Jeffrey STUART Schoenfeld
MICHAEL BAUSK
David Rubin

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LYNBROOK, NY
OSAIC WEALTH, INC. · Lynbrook, NY
PARK AVENUE SECURITIES LLC · LYNBROOK, NY
PFS INVESTMENTS INC. · LYNBROOK, NY
PFS INVESTMENTS INC. · LYNBROOK, NY
STATE FARM INVESTMENT MANAGEMENT CORP. · LYNBROOK, NY
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · LYNBROOK, NY
LPL FINANCIAL LLC · ROCKVILLE CENTRE, NY

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