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Mario A Zapata

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Fairfield, CT

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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 2010-09-28
CT RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2010-09-28
  • CT RA
    APPROVED
    Since 2009-10-23

Branch Locations

1499 Post Rd, Fairfield, CT 06824 • 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 Trumbull CT 10/2009 Present
Bank Of America, Na Trumbull CT 01/2010 Present
Previous Registrations
  • 2005-09-02 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Trumbull, CT
    Trumbull, CT
    Trumbull, CT
  • 2003-04-23 → 2005-09-22
    Ubs Financial Services Inc.
    Ridgefield, CT
  • 2002-04-03 → 2002-11-21
    Morgan Stanley Dw Inc.
    Greenwich, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-02-14
S63 Uniform Securities Agent State Law Examination 1998-08-25
  • S65 Uniform Investment Adviser Law Examination
    2002-02-14
  • S63 Uniform Securities Agent State Law Examination
    1998-08-25

View on SEC IAPD

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