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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 2021-04-19
TX RA APPROVED 2016-07-12
CT RA APPROVED 2015-03-09
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED
    Since 2016-07-12
  • CT RA
    APPROVED
    Since 2015-03-09

Branch Locations

7864 Transit Rd, Williamsville, NY 14221 • 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 Williamsville NY 02/2015 Present
Bank Of America, N.A. Williamsville NY 02/2015 Present
Previous Registrations
  • 2014-08-11 → 2015-02-10
    M&T Securities, Inc.
    Buffalo, NY
    Buffalo, NY
    Buffalo, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-08-08
  • S66 Uniform Combined State Law Examination
    2014-08-08

View on SEC IAPD

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