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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 2021-04-06
TX RA APPROVED_RES 2014-07-23
NJ RA APPROVED 2014-07-18
  • NY RA
    APPROVED
    Since 2021-04-06
  • TX RA
    APPROVED_RES
    Since 2014-07-23
  • NJ RA
    APPROVED
    Since 2014-07-18

Branch Locations

50 Chestnut Ridge Rd, Montvale, NJ 07645 • 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 Wayne NJ 06/2014 Present
Bank Of America, N.A. Wayne NJ 07/2014 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-05-08
  • S63 Uniform Securities Agent State Law Examination
    1997-05-08

View on SEC IAPD

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