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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 2012-11-05
CT RA APPROVED 2009-10-30
  • TX RA
    APPROVED_RES
    Since 2012-11-05
  • CT RA
    APPROVED
    Since 2009-10-30

Branch Locations

45 William St, Wellesley Hills, MA 02481 • 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 Boston MA 10/2009 Present
Bank Of America, Na Boston MA 12/2009 Present
Previous Registrations
  • 2004-10-20 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Boston, MA
    Boston, MA
  • 2004-05-14 → 2004-10-20
    Quick & Reilly, Inc.
    Boston, MA
Other Businesses

I*1707273 Entity Type: N/A Name of OBA: Rental Property 1 Address:Warren, VT, 05674 Investment Related:No Position, Title, Association:Co-owner with other family members Employee Start Date:03/01/2024 No Hours: 0 No Hours during trading:0 Duties:N/A

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-05-06
S63 Uniform Securities Agent State Law Examination 1997-10-30
  • S65 Uniform Investment Adviser Law Examination
    2004-05-06
  • S63 Uniform Securities Agent State Law Examination
    1997-10-30

View on SEC IAPD

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