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Peter Kappel

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Stamford, CT

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 1997-06-13
  • CT RA
    APPROVED
    Since 1997-06-13

Branch Locations

301 Tresser Blvd, Stamford, CT 06901 • 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
Connecticut Metallurgical Processes Inc Bridgeport CT 03/1968 Present
Merrill Lynch Stamford CT 11/1996 Present
Bank Of America, Na Stamford CT 12/2009 Present
  • 03/1968 → Present
    Connecticut Metallurgical Processes Inc
    Bridgeport, CT
  • 11/1996 → Present
    Merrill Lynch
    Stamford, CT
  • 12/2009 → Present
    Bank Of America, Na
    Stamford, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-02-11
S63 Uniform Securities Agent State Law Examination 1997-01-23
  • S65 Uniform Investment Adviser Law Examination
    1997-02-11
  • S63 Uniform Securities Agent State Law Examination
    1997-01-23

View on SEC IAPD

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