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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NM RA APPROVED 2016-05-02
IN RA APPROVED 2011-11-29
TX RA APPROVED 2008-01-10
KY RA APPROVED 2006-09-18
  • NM RA
    APPROVED
    Since 2016-05-02
  • IN RA
    APPROVED
    Since 2011-11-29
  • TX RA
    APPROVED
    Since 2008-01-10
  • KY RA
    APPROVED
    Since 2006-09-18

Branch Locations

123 E Marcy St, Santa Fe, NM 87501 • 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 Santa Fe IN 09/2006 Present
Bank Of America, N.A. Santa Fe NM 08/2017 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-11-26
  • S66 Uniform Combined State Law Examination
    2002-11-26

View on SEC IAPD

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