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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
FL RA APPROVED 2020-11-23
TX RA APPROVED 2008-01-17
CT RA APPROVED 2006-10-20
  • NY RA
    APPROVED
    Since 2021-04-19
  • FL RA
    APPROVED
    Since 2020-11-23
  • TX RA
    APPROVED
    Since 2008-01-17
  • CT RA
    APPROVED
    Since 2006-10-20

Branch Locations

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

Palm Beach Gardens, FL • 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 : 7691 New York NY 04/2006 Present
Bank Of America, N.A. New York NY 07/2011 Present
  • 04/2006 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    New York, NY
  • 07/2011 → Present
    Bank Of America, N.A.
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-10-19
S63 Uniform Securities Agent State Law Examination 1998-08-15
  • S66 Uniform Combined State Law Examination
    2006-10-19
  • S63 Uniform Securities Agent State Law Examination
    1998-08-15

View on SEC IAPD

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