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Jeffrey A Frederick

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
TX RA APPROVED_RES 2017-12-12
CT RA APPROVED 2016-09-30
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2017-12-12
  • CT RA
    APPROVED
    Since 2016-09-30

Branch Locations

One Bryant Park Gwim Chief Investment Office (Cio), New York, NY 10036 • 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
Morgan Stanley New York NY 06/2013 09/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 09/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-08-02
S65 Uniform Investment Adviser Law Examination 2006-08-22
S63 Uniform Securities Agent State Law Examination 2003-11-24
  • S66 Uniform Combined State Law Examination
    2010-08-02
  • S65 Uniform Investment Adviser Law Examination
    2006-08-22
  • S63 Uniform Securities Agent State Law Examination
    2003-11-24
Other Names
  • Jeffrey A Frederick
  • Jeffrey Alan Frederick

View on SEC IAPD

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