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Richard E Monroe

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pittsford, 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
NY RA APPROVED 2026-07-02
TX RA APPROVED 2023-09-12
  • NY RA
    APPROVED
    Since 2026-07-02
  • TX RA
    APPROVED
    Since 2023-09-12

Branch Locations

1241 Pittsford Victor Rd, Pittsford, NY 14534 • 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
Homemaker Charlottesville VA 09/2004 08/2017
Ameriprise Financial Services, Inc. Charlottesville VA 09/2017 09/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Charlottesville VA 05/2023 Present
Unemployed Charlottesville VA 09/2022 05/2023
Bank Of America N.A. Charlottesville VA 06/2023 Present
  • 09/2004 → 08/2017
    Homemaker
    Charlottesville, VA
  • 09/2017 → 09/2022
    Ameriprise Financial Services, Inc.
    Charlottesville, VA
  • 05/2023 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Charlottesville, VA
  • 09/2022 → 05/2023
    Unemployed
    Charlottesville, VA
  • 06/2023 → Present
    Bank Of America N.A.
    Charlottesville, VA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-11-22
S63 Uniform Securities Agent State Law Examination 2001-03-10
  • S66 Uniform Combined State Law Examination
    2017-11-22
  • S63 Uniform Securities Agent State Law Examination
    2001-03-10
Other Names
  • Richard Eugene Monroe

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PITTSFORD, NY
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MARK ANDREW PAGANELLI · PITTSFORD, NY
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