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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 2011-10-28
NJ RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2011-10-28
  • NJ RA
    APPROVED
    Since 2009-10-23

Branch Locations

2 Tower Center Blvd, East Brunswick, NJ 08816 • United States

2200 Fletcher Ave, Fort Lee, NJ 07024 • United States

Teaneck, NJ • 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
Bank Of America, N.A. Glen Rock NJ 03/2006 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Fort Lee NJ 10/2009 Present
Previous Registrations
  • 2006-09-11 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Englewood Cliffs, NJ
    Fort Lee, NJ
    Englewood Cliffs, NJ
    Glen Rock, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-09-08
S63 Uniform Securities Agent State Law Examination 1998-09-04
  • S65 Uniform Investment Adviser Law Examination
    2006-09-08
  • S63 Uniform Securities Agent State Law Examination
    1998-09-04

View on SEC IAPD

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