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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 2013-02-26
MI RA APPROVED 2010-05-12
IL RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2013-02-26
  • MI RA
    APPROVED
    Since 2010-05-12
  • IL RA
    APPROVED
    Since 2009-10-23

Branch Locations

45000 River Ridge Dr, Clinton Township, MI 48038 • 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 Grosse Pointe Woods MI 10/2009 Present
Previous Registrations
  • 2009-03-03 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Sterling Heights, MI
    Warren, MI
    Grosse Pointe Woods, MI
Other Businesses

I*4747274, Entity Type, Name of OBA: MLPF& S CUST FPO J K RRA FBO J K Address: Macomb Michigan 48044 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 05/09/2022 No Hours: 0 No Hours during trading: 0 Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-02-27
S63 Uniform Securities Agent State Law Examination 2003-11-19
  • S66 Uniform Combined State Law Examination
    2009-02-27
  • S63 Uniform Securities Agent State Law Examination
    2003-11-19
Other Names
  • Carolyn Marie Smith

View on SEC IAPD

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