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Michael A Rotay

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Bala Cynwyd, PA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2010-06-24
TX RA APPROVED_RES 1999-05-25
  • PA RA
    APPROVED
    Since 2010-06-24
  • TX RA
    APPROVED_RES
    Since 1999-05-25

Branch Locations

2 Bala Plz, Bala Cynwyd, PA 19004 • 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 Bala Cynwyd PA 10/1996 Present
Bank Of America,N.A. Bala Cynwyd PA 06/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-12-24
S63 Uniform Securities Agent State Law Examination 1996-12-19
  • S65 Uniform Investment Adviser Law Examination
    1996-12-24
  • S63 Uniform Securities Agent State Law Examination
    1996-12-19
Other Names
  • Michael J Rotay
  • Michael John Rotay

View on SEC IAPD

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AWH FINANCIAL, LLC · BALA CYNWYD, PA
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