William Michael Lloyd

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2007-11-07
CA	RA	APPROVED	2007-09-07

TX RA
APPROVED_RES

Since 2007-11-07
CA RA
APPROVED

Since 2007-09-07

Branch Locations

San Jose, CA • United States

560 S Winchester Blvd, San Jose, CA 95128 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith	San Jose	CA	09/2007	Present
Bank Of America, N.A.	San Jose	CA	07/2011	Present

09/2007 → Present

Merrill Lynch, Pierce, Fenner & Smith

San Jose, CA
07/2011 → Present

Bank Of America, N.A.

San Jose, CA

Previous Registrations

2003-07-01 → 2007-09-14

Wells Fargo Clearing Services, Llc

San Jose, CA

San Jose, CA
1997-07-08 → 2003-07-01

Prudential Equity Group, Llc

San Jose, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-04-18
S63	Uniform Securities Agent State Law Examination	1997-04-09

S65 Uniform Investment Adviser Law Examination

1997-04-18
S63 Uniform Securities Agent State Law Examination

1997-04-09

View on SEC IAPD

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