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Merrill Lynch, Pierce, Fenner & Smith Incorporated

Naples, FL

North Bethesda, MD

Naples, 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 2020-12-21
TX RA APPROVED_RES 2004-01-07
MD RA APPROVED 2001-02-21
  • FL RA
    APPROVED
    Since 2020-12-21
  • TX RA
    APPROVED_RES
    Since 2004-01-07
  • MD RA
    APPROVED
    Since 2001-02-21

Branch Locations

Naples, FL • United States

11810 Grand Park Ave, North Bethesda, MD 20852 • United States

9128 Strada Pl, Naples, FL 34108 • 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 Rockville MD 06/2000 Present
Bank Of America, N.A. Rockville MD 12/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-07-10
S63 Uniform Securities Agent State Law Examination 1996-11-01
  • S65 Uniform Investment Adviser Law Examination
    2000-07-10
  • S63 Uniform Securities Agent State Law Examination
    1996-11-01

View on SEC IAPD

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