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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-08-08
VA RA APPROVED 2020-12-21
DC RA APPROVED 2007-08-07
  • TX RA
    APPROVED_RES
    Since 2025-08-08
  • VA RA
    APPROVED
    Since 2020-12-21
  • DC RA
    APPROVED
    Since 2007-08-07

Branch Locations

1800 K St Nw, Washington, DC 20006 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Washington DC 06/2007 Present
Bank Of America,N.A. Washington DC 06/2011 Present
Previous Registrations
  • 1998-08-31 → 2007-07-10
    A. G. Edwards & Sons, Inc.
    Washington, DC
    Washington, DC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-07-24
S63 Uniform Securities Agent State Law Examination 1998-01-10
  • S65 Uniform Investment Adviser Law Examination
    1998-07-24
  • S63 Uniform Securities Agent State Law Examination
    1998-01-10

View on SEC IAPD

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