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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2009-11-05
TX RA APPROVED 2009-10-02
  • LA RA
    APPROVED
    Since 2009-11-05
  • TX RA
    APPROVED
    Since 2009-10-02

Branch Locations

2681 N Causeway Blvd, Mandeville, LA 70471 • 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 Mandeville LA 10/2009 Present
Bank Of America, Na Mandeville LA 12/2009 Present
Previous Registrations
  • 2009-06-01 → 2009-10-07
    Covington, LA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    New Orleans, LA
    Covington, LA
  • 2006-09-22 → 2007-04-02
    Morgan Stanley Dw Inc.
    New Orleans, LA
    New Orleans, LA
Other Businesses

I*485392 Entity Type: N/A Name of OBA: M B, POA Address: Covington, Louisiana, 70433 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 03/02/2012 Number of Hours: 1, Monthly Number of Hours during trading: 1, Monthly Duties: Spouse

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-07-03
  • S66 Uniform Combined State Law Examination
    2003-07-03

View on SEC IAPD

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