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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 2021-06-17
FL RA APPROVED 2005-08-19
OH RA APPROVED 2003-01-13
  • TX RA
    APPROVED_RES
    Since 2021-06-17
  • FL RA
    APPROVED
    Since 2005-08-19
  • OH RA
    APPROVED
    Since 2003-01-13

Branch Locations

401 E Las Olas Blvd, Fort Lauderdale, FL 33301 • United States

One Bryant Park, New York, NY 10036 • 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 Inc. Cleveland OH 06/1998 Present
  • 06/1998 → Present
    Merrill Lynch Pierce Fenner & Smith Inc.
    Cleveland, OH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-09-10
  • S66 Uniform Combined State Law Examination
    2002-09-10

View on SEC IAPD

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