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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 2016-01-14
NJ RA APPROVED 2005-02-21
  • TX RA
    APPROVED_RES
    Since 2016-01-14
  • NJ RA
    APPROVED
    Since 2005-02-21

Branch Locations

1499 Post Rd Investment Solutions Group, Fairfield, CT 06824 • United States

7 Roszel Rd Investment Solutions Group, Princeton, NJ 08540 • 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 Florham Park NJ 07/1996 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-02-18
  • S66 Uniform Combined State Law Examination
    2005-02-18

View on SEC IAPD

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