Adam Jason Rosenfeld

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2011-12-14
TX	RA	APPROVED_RES	2011-08-30

FL RA
APPROVED

Since 2011-12-14
TX RA
APPROVED_RES

Since 2011-08-30

Branch Locations

Miami Beach, FL • United States

200 S Biscayne Blvd Pbig - Florida Pwm, Miami, FL 33131 • United States

Disclosures

2 disclosure categories 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 No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Miami	FL	08/2011	Present
Bank Of America, N.A.	Miami	FL	02/2012	Present

08/2011 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Miami, FL
02/2012 → Present

Bank Of America, N.A.

Miami, FL

Previous Registrations

2009-06-01 → 2011-09-01

Morgan Stanley

Miami, FL

Miami, FL
2007-04-02 → 2009-06-11

Morgan Stanley & Co. Llc

Miami, FL

New York, NY

Aventura, FL
2001-02-05 → 2007-04-02

Morgan Stanley Dw Inc.

Aventura, FL

Aventura, FL

Other Businesses

I*: 2588287 Entity Type: For Profit Name of OBA: YONY LA LLC Address: Miami Bch, FL 33140 Investment Related: No Position, Title, Association: owner Employee Start Date: 07/11/2025 Number of Hours: 1 hr wkly Number of Hours during trading: 0 Duties: sells clothing. advisory and vision.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-02-20

S66 Uniform Combined State Law Examination

2001-02-20

View on SEC IAPD