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Joan A Buonocore

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Southbury, CT

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2014-06-26
CT RA APPROVED 2014-01-10
  • TX RA
    APPROVED_RES
    Since 2014-06-26
  • CT RA
    APPROVED
    Since 2014-01-10

Branch Locations

108 Main St N, Southbury, CT 06488 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • 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 Southbury CT 10/2011 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-12-28
S63 Uniform Securities Agent State Law Examination 2001-02-21
  • S66 Uniform Combined State Law Examination
    2013-12-28
  • S63 Uniform Securities Agent State Law Examination
    2001-02-21
Other Names
  • Joan A Klies
  • Joan Ann Klies
  • Joan Ann Buonocore

View on SEC IAPD

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