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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 2024-01-12
NJ RA APPROVED 2003-09-18
  • TX RA
    APPROVED
    Since 2024-01-12
  • NJ RA
    APPROVED
    Since 2003-09-18

Branch Locations

100 Somerset Corporate Blvd, Bridgewater, NJ 08807 • 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 Bridgewater NJ 01/2003 Present
Bank Of America, N.A. Bridgewater NJ 07/2010 Present
Other Businesses

I*662 For profit or not for profit: Name of outside business organization: NONE Investment related: Address of business: Pennington, New Jersey 8534 Nature of business: , Position, title, association: , Start date of relationship: 11/1/2013 Number of hours devoted: 12 hour(s) Number of hours devoted during trading hours: 0 Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-09-17
S63 Uniform Securities Agent State Law Examination 2002-09-21
  • S66 Uniform Combined State Law Examination
    2003-09-17
  • S63 Uniform Securities Agent State Law Examination
    2002-09-21

View on SEC IAPD

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