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Emily C Define

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Peoria, AZ

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
GA RA APPROVED 2009-10-23
  • GA RA
    APPROVED
    Since 2009-10-23

Branch Locations

14100 N 83Rd Ave, Peoria, AZ 85381 • United States

One Bryant Park, 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Boston MA 10/2009 Present
Previous Registrations
  • 2002-08-15 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Scottsdale, AZ
    Scottsdale, AZ
    Boston, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-07-22
S63 Uniform Securities Agent State Law Examination 1997-08-09
  • S65 Uniform Investment Adviser Law Examination
    1998-07-22
  • S63 Uniform Securities Agent State Law Examination
    1997-08-09
Other Names
  • Emily Christine Agnew
  • Emily Christine Define
  • Emily Christine Define
  • Emily Christine Grotte

View on SEC IAPD

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