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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-11-19 |
| TX | RA | APPROVED_RES | 2024-10-18 |
Branch Locations
520 Newport Center Dr Pbig - Fashion Island, Newport Beach, CA 92660 • United States
Long Island City, NY • United States
One Bryant Park Pbig - New York, New York, NY 10036 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 10/1995 | 06/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 09/2024 | Present |
| Bates Group Llc | Sarasota | FL | 04/2024 | 09/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Sarasota | FL | 05/2022 | 04/2024 |
| Rl Squared Llc | Ridgewood | NJ | 06/2021 | 05/2022 |
| Bates Group Llc | Ridgewood | NJ | 06/2021 | 11/2021 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-04-03 |
| S63 | Uniform Securities Agent State Law Examination | 1996-09-11 |
| S65 | Uniform Investment Adviser Law Examination | 1996-09-11 |
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