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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 2017-07-27
CT RA APPROVED 2016-12-19
  • TX RA
    APPROVED
    Since 2017-07-27
  • CT RA
    APPROVED
    Since 2016-12-19

Branch Locations

One Bryant Park Gwim Chief Investment Office (Cio), New York, NY 10036 • United States

100 Federal St Gwim Chief Investment Office (Cio), Boston, MA 02110 • 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 Boston MA 08/2012 Present
Bank Of America Na Boston MA 08/2012 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-12-16
  • S66 Uniform Combined State Law Examination
    2016-12-16

View on SEC IAPD

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