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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-12-08
TX RA APPROVED_RES 2012-11-08
CT RA APPROVED 2004-09-28
  • FL RA
    APPROVED
    Since 2022-12-08
  • TX RA
    APPROVED_RES
    Since 2012-11-08
  • CT RA
    APPROVED
    Since 2004-09-28

Branch Locations

1545 Iyannough Rd, Hyannis, MA 02601 • United States

Fort Lauderdale, FL • United States

401 E Las Olas Blvd, Fort Lauderdale, FL 33301 • 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 Hyannis MA 06/2004 Present
Bank Of America, N.A. Hyannis MA 06/2011 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-09-27
  • S66 Uniform Combined State Law Examination
    2004-09-27
Other Names
  • Mike Fernon

View on SEC IAPD

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