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Corey R Pothier

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Riverside, RI

Pennington, NJ

Dayville, CT

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2024-08-29
RI RA APPROVED 2014-10-06
  • CT RA
    APPROVED
    Since 2024-08-29
  • RI RA
    APPROVED
    Since 2014-10-06

Branch Locations

3400 Pawtucket Ave Central Business Review Unit, Riverside, RI 02915 • United States

1100-1800 American Blvd Central Business Review Unit, Pennington, NJ 08534 • United States

Dayville, CT • 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/Bank Of America Lincoln RI 08/2010 Present
  • 08/2010 → Present
    Merrill Lynch/Bank Of America
    Lincoln, RI
Other Businesses

INDEPENDENT CONTRACTOR NON-INVESTMENT RELATED BASKETBALL REFEREE 11/1997 TO PRESENT REFEREE HIGH SCHOOL AND COLLEGIATE BASKETBALL GAMES

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-10-03
S63 Uniform Securities Agent State Law Examination 2003-07-16
  • S65 Uniform Investment Adviser Law Examination
    2014-10-03
  • S63 Uniform Securities Agent State Law Examination
    2003-07-16
Other Names
  • Corey R Pothier
  • Corey Pothier

View on SEC IAPD

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