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Henry Charles Filter

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Annapolis, MD

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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 2005-10-21
MD RA APPROVED 1997-01-10
  • TX RA
    APPROVED
    Since 2005-10-21
  • MD RA
    APPROVED
    Since 1997-01-10

Branch Locations

1 Park Pl, Annapolis, MD 21401 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Bank Of America, N.A. Annapolis MD 05/2011 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Annapolis MD 09/1996 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-12-05
S63 Uniform Securities Agent State Law Examination 1996-11-27
  • S65 Uniform Investment Adviser Law Examination
    1996-12-05
  • S63 Uniform Securities Agent State Law Examination
    1996-11-27
Other Names
  • Henry Filter

View on SEC IAPD

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