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Michael J Williams

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Newport Beach, CA

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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 2014-10-02
CA RA APPROVED 1999-12-15
  • TX RA
    APPROVED_RES
    Since 2014-10-02
  • CA RA
    APPROVED
    Since 1999-12-15

Branch Locations

520 Newport Center Dr, Newport Beach, CA 92660 • 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, Inc. Brea CA 11/1999 Present
Bank Of America, N.A. Newport Beach CA 07/2011 Present
  • 11/1999 → Present
    Merrill Lynch, Pierce, Fenner & Smith, Inc.
    Brea, CA
  • 07/2011 → Present
    Bank Of America, N.A.
    Newport Beach, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-12-22
S63 Uniform Securities Agent State Law Examination 1997-11-24
  • S65 Uniform Investment Adviser Law Examination
    1997-12-22
  • S63 Uniform Securities Agent State Law Examination
    1997-11-24
Other Names
  • Michael John Williams

View on SEC IAPD

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