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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2020-10-01
DC RA APPROVED 2015-07-17
TX RA APPROVED_RES 2015-06-12
VA RA APPROVED 2015-06-11
  • ME RA
    APPROVED
    Since 2020-10-01
  • DC RA
    APPROVED
    Since 2015-07-17
  • TX RA
    APPROVED_RES
    Since 2015-06-12
  • VA RA
    APPROVED
    Since 2015-06-11

Branch Locations

1 Monument Sq, Portland, ME 04101 • United States

1800 K St Nw, Washington, DC 20006 • United States

South Bristol, ME • 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 Reston VA 06/2015 Present
Bank Of America, N.A. Reston VA 06/2015 Present
Previous Registrations
  • 2009-04-17 → 2015-07-10
    Barclays Capital Inc.
    Philadelphia, PA
    Washington, DC
  • 2002-01-31 → 2009-04-21
    Washington, DC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-01-19
  • S66 Uniform Combined State Law Examination
    2002-01-19

View on SEC IAPD

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