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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2026-03-04
NC RA APPROVED 2011-12-15
TX RA APPROVED_RES 2007-10-01
NJ RA APPROVED 2007-09-27
  • SC RA
    APPROVED
    Since 2026-03-04
  • NC RA
    APPROVED
    Since 2011-12-15
  • TX RA
    APPROVED_RES
    Since 2007-10-01
  • NJ RA
    APPROVED
    Since 2007-09-27

Branch Locations

Rock Hill, SC • United States

6000 Fairview Rd, Charlotte, NC 28210 • 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 Florham Park NJ 09/2007 Present
  • 09/2007 → Present
    Merrill Lynch, Pierce, Fenner & Smith
    Florham Park, NJ
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-05-16
  • S66 Uniform Combined State Law Examination
    2002-05-16

View on SEC IAPD

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