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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
TX RA APPROVED 2007-05-10
NJ RA APPROVED 2003-12-12
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED
    Since 2007-05-10
  • NJ RA
    APPROVED
    Since 2003-12-12

Branch Locations

69 State St, Albany, NY 12207 • 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 Albany NY 12/2003 Present
Bank Of America, N.A. Albany NY 05/2011 Present
  • 12/2003 → Present
    Merrill Lynch
    Albany, NY
  • 05/2011 → Present
    Bank Of America, N.A.
    Albany, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-04-01
  • S66 Uniform Combined State Law Examination
    2003-04-01

View on SEC IAPD

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