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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 2021-02-24
TX RA APPROVED 2010-06-02
  • FL RA
    APPROVED
    Since 2021-02-24
  • TX RA
    APPROVED
    Since 2010-06-02

Branch Locations

Inlet Beach, FL • United States

1 Cowboys Way, Frisco, TX 75034 • 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 Plano TX 06/2010 Present
Bank Of America, N.A. Plano TX 09/2010 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-05
S63 Uniform Securities Agent State Law Examination 2002-04-25
  • S66 Uniform Combined State Law Examination
    2007-10-05
  • S63 Uniform Securities Agent State Law Examination
    2002-04-25

View on SEC IAPD

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