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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2009-06-26
KY RA APPROVED 2007-12-08
  • TX RA
    APPROVED
    Since 2009-06-26
  • KY RA
    APPROVED
    Since 2007-12-08

Branch Locations

300 W Vine St, Lexington, KY 40507 • 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 : 7691 Lexington KY 09/2005 Present
  • 09/2005 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Lexington, KY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-11-30
S63 Uniform Securities Agent State Law Examination 2005-07-09
  • S66 Uniform Combined State Law Examination
    2007-11-30
  • S63 Uniform Securities Agent State Law Examination
    2005-07-09

View on SEC IAPD

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