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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2010-06-25
TX RA APPROVED_RES 2002-03-05
  • PA RA
    APPROVED
    Since 2010-06-25
  • TX RA
    APPROVED_RES
    Since 2002-03-05

Branch Locations

600 Hamilton St, Allentown, PA 18101 • United States

Easton, PA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch Pierce Fenner And Smith Allentown PA 12/1999 Present
Bank Of America, Na Allentown PA 09/2009 Present
  • 12/1999 → Present
    Merrill Lynch Pierce Fenner And Smith
    Allentown, PA
  • 09/2009 → Present
    Bank Of America, Na
    Allentown, PA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-02-28
  • S66 Uniform Combined State Law Examination
    2000-02-28

View on SEC IAPD

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