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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2014-02-21
TX RA APPROVED 2014-02-21
  • PA RA
    APPROVED
    Since 2014-02-21
  • TX RA
    APPROVED
    Since 2014-02-21

Branch Locations

600 Hamilton St, Allentown, PA 18101 • 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 Bethlehem PA 02/2014 Present
Bank Of America, N.A. Bethlehem PA 05/2014 Present
Previous Registrations
Other Businesses

I*3274266, Entity Type: , Name of OBA: Rental Property 1, Address: Pen Argyl, Pennsylvania, 18072, Investment Related: N, Position, Title, Association: Co-owner with other family members, Employee State Date: 01/01/2026, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1998-08-31
  • S66 Uniform Combined State Law Examination
    1998-08-31

View on SEC IAPD

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