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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 2010-06-21
  • TX RA
    APPROVED_RES
    Since 2010-06-21

Branch Locations

1 Financial Plaza, Providence, RI 02903 • 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 New York NY 03/2006 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2004-03-01
  • S63 Uniform Securities Agent State Law Examination
    2004-03-01

View on SEC IAPD

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