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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 2020-09-21
TX RA APPROVED 2014-05-22
NJ RA APPROVED 2010-01-07
  • FL RA
    APPROVED
    Since 2020-09-21
  • TX RA
    APPROVED
    Since 2014-05-22
  • NJ RA
    APPROVED
    Since 2010-01-07

Branch Locations

Delray Beach, FL • United States

2504 Highway 35, Manasquan, NJ 08736 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated (7691) East Brunswick NJ 12/2009 Present
Bank Of America, Na East Brunswick NJ 12/2009 Present
  • 12/2009 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated (7691)
    East Brunswick, NJ
  • 12/2009 → Present
    Bank Of America, Na
    East Brunswick, NJ
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-12-31
  • S63 Uniform Securities Agent State Law Examination
    1996-12-31

View on SEC IAPD

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