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Daniel Thomas Walsh

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Palo Alto, CA

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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_RES 1998-09-02
CA RA APPROVED 1998-06-11
  • TX RA
    APPROVED_RES
    Since 1998-09-02
  • CA RA
    APPROVED
    Since 1998-06-11

Branch Locations

3075A Hansen Way, Palo Alto, CA 94304 • 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 Menlo Park CA 03/1998 Present
Bank Of America, Na Menlo Park CA 09/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-05-06
S63 Uniform Securities Agent State Law Examination 1996-10-18
  • S65 Uniform Investment Adviser Law Examination
    1998-05-06
  • S63 Uniform Securities Agent State Law Examination
    1996-10-18
Other Names
  • Dan Walsh

View on SEC IAPD

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