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Wesley Dale Weise

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Seattle, WA

Denver, CO

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2015-05-18
  • CO RA
    APPROVED
    Since 2015-05-18

Branch Locations

401 Union St, Seattle, WA 98101 • United States

370 17Th St, Denver, CO 80202 • 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 Denver CO 12/2014 Present
Bank Of America, N.A. Denver CO 12/2014 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-05-15
S63 Uniform Securities Agent State Law Examination 2002-10-01
  • S65 Uniform Investment Adviser Law Examination
    2015-05-15
  • S63 Uniform Securities Agent State Law Examination
    2002-10-01

View on SEC IAPD

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