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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2023-02-23
TX RA APPROVED_RES 2013-01-23
PA RA APPROVED 2010-06-29
NJ RA APPROVED 2006-10-20
  • MD RA
    APPROVED
    Since 2023-02-23
  • TX RA
    APPROVED_RES
    Since 2013-01-23
  • PA RA
    APPROVED
    Since 2010-06-29
  • NJ RA
    APPROVED
    Since 2006-10-20

Branch Locations

7 Roszel Rd, Princeton, NJ 08540 • United States

600 Hamilton St, Allentown, PA 18101 • United States

Allentown, 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Inc. Allentown PA 10/1985 Present
  • 10/1985 → Present
    Merrill Lynch, Pierce, Fenner & Smith Inc.
    Allentown, PA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-12-19
  • S66 Uniform Combined State Law Examination
    2005-12-19

View on SEC IAPD

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