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Susan Shojashafti Sadr

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Lexington, KY

Louisville, KY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2017-04-05
TX RA APPROVED_RES 2011-05-17
KY RA APPROVED 1999-05-26
  • CA RA
    APPROVED
    Since 2017-04-05
  • TX RA
    APPROVED_RES
    Since 2011-05-17
  • KY RA
    APPROVED
    Since 1999-05-26

Branch Locations

Lexington, KY • United States

101 Bullitt Ln, Louisville, KY 40222 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lexington KY 01/1999 Present
Bank Of America, N.A. Lexington KY 09/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-05-26
S63 Uniform Securities Agent State Law Examination 1998-05-27
  • S65 Uniform Investment Adviser Law Examination
    1999-05-26
  • S63 Uniform Securities Agent State Law Examination
    1998-05-27
Other Names
  • Susan Shoja Shafti Sadr
  • Susan Sadr

View on SEC IAPD

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