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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2009-10-23
  • WA RA
    APPROVED
    Since 2009-10-23

Branch Locations

100 Federal St, Boston, MA 02110 • United States

401 Union St, Seattle, WA 98101 • 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 Seattle WA 10/2009 Present
Previous Registrations
  • 2003-03-31 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Seattle, WA
    Seattle, WA
    Seattle, WA
  • 2000-10-20 → 2002-12-20
    Banc Of America Investment Services, Inc.
    Seattle, WA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-10-28
S63 Uniform Securities Agent State Law Examination 1999-10-25
  • S65 Uniform Investment Adviser Law Examination
    1999-10-28
  • S63 Uniform Securities Agent State Law Examination
    1999-10-25

View on SEC IAPD

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