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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 2021-10-27
IL RA APPROVED 2008-06-27
TX RA APPROVED 2008-06-27
  • FL RA
    APPROVED
    Since 2021-10-27
  • IL RA
    APPROVED
    Since 2008-06-27
  • TX RA
    APPROVED
    Since 2008-06-27

Branch Locations

West Palm Beach, FL • United States

249 Royal Palm Way, Palm Beach, FL 33480 • United States

110 N Wacker Dr, Chicago, IL 60606 • 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 Chicago IL 06/2008 Present
Bank Of America, N.A. Chicago IL 09/2009 Present
Previous Registrations
  • 2007-04-02 → 2008-07-02
    Morgan Stanley & Co. Llc
    Chicago, IL
  • 2003-10-28 → 2007-04-02
    Morgan Stanley Dw Inc.
    Chicago, IL
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-10-03
  • S66 Uniform Combined State Law Examination
    2003-10-03

View on SEC IAPD

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