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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2025-05-12
TX RA APPROVED_RES 2007-05-01
CA RA APPROVED 1998-05-14
  • TN RA
    APPROVED
    Since 2025-05-12
  • TX RA
    APPROVED_RES
    Since 2007-05-01
  • CA RA
    APPROVED
    Since 1998-05-14

Branch Locations

Johnson City, TN • United States

206 Princeton Rd, Johnson City, TN 37601 • United States

800 E Colorado Blvd, Pasadena, CA 91101 • 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 Pasadena CA 01/1998 Present
Bank Of America,Na Pasadena CA 03/2009 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1998-04-01
  • S66 Uniform Combined State Law Examination
    1998-04-01

View on SEC IAPD

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