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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2020-11-19
TX RA APPROVED_RES 2014-04-11
NJ RA APPROVED 2003-01-27
  • FL RA
    APPROVED
    Since 2020-11-19
  • TX RA
    APPROVED_RES
    Since 2014-04-11
  • NJ RA
    APPROVED
    Since 2003-01-27

Branch Locations

Stuart, FL • United States

2200 Fletcher Ave, Fort Lee, NJ 07024 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Inc Florham Park NJ 01/2001 Present
Bank Of America, N.A. Fort Lee NJ 06/2011 Present
  • 01/2001 → Present
    Merrill Lynch, Pierce, Fenner & Smith Inc
    Florham Park, NJ
  • 06/2011 → Present
    Bank Of America, N.A.
    Fort Lee, NJ
Other Businesses

I*734256 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: Southold, New York, 11974 Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 2/1/2022 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: ,

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-04-30
  • S66 Uniform Combined State Law Examination
    2001-04-30

View on SEC IAPD

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