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Carlos Javier Neira

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Miami, FL

Miami, FL

Miami, FL

Miramar, FL

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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 2018-10-08
CT RA APPROVED 2018-04-06
TX RA APPROVED_RES 2013-01-17
NJ RA APPROVED 2005-03-07
  • FL RA
    APPROVED
    Since 2018-10-08
  • CT RA
    APPROVED
    Since 2018-04-06
  • TX RA
    APPROVED_RES
    Since 2013-01-17
  • NJ RA
    APPROVED
    Since 2005-03-07

Branch Locations

8840 Sw 136Th St, Miami, FL 33176 • United States

701 Brickell Ave, Miami, FL 33131 • United States

701 Brickell Ave, Miami, FL 33131 • United States

Miramar, FL • 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 Pennington NJ 05/2004 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-03-04
S63 Uniform Securities Agent State Law Examination 2002-06-28
  • S66 Uniform Combined State Law Examination
    2005-03-04
  • S63 Uniform Securities Agent State Law Examination
    2002-06-28

View on SEC IAPD

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