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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2009-11-02
  • NH RA
    APPROVED
    Since 2009-11-02

Branch Locations

900 Elm St, Manchester, NH 03101 • United States

1 Financial Plz, Providence, RI 02903 • 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 Manchester NH 10/2009 Present
Bank Of America N.A Manchester NH 10/2009 Present
Previous Registrations
  • 2008-04-01 → 2008-08-25
    Lehman Brothers Inc.
    Boston, MA
Other Businesses

I*2050270, Entity Type, Name of OBA: Rental Property 2, Address: Eastham, MA, 02642, Investment Related: No, Position, Title, Association: Co-owner with other family members, Employee Start Date: 10/31/2024, No Hours: 2hrs/Mo, No Hours during trading: 0, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-03-31
S63 Uniform Securities Agent State Law Examination 1998-06-26
  • S66 Uniform Combined State Law Examination
    2008-03-31
  • S63 Uniform Securities Agent State Law Examination
    1998-06-26
Other Names
  • Mike Lindquist

View on SEC IAPD

Other Firms

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