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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 2012-04-13
NJ RA APPROVED 2002-12-03
  • TX RA
    APPROVED_RES
    Since 2012-04-13
  • NJ RA
    APPROVED
    Since 2002-12-03

Branch Locations

150 N College St Ci Business Controls, Charlotte, NC 28202 • United States

525 Washington Blvd Ci Operations And Planning, Jersey City, NJ 07310 • United States

Jersey City, NJ • 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, Inc. Somerset NJ 07/2001 Present
  • 07/2001 → Present
    Merrill Lynch, Pierce, Fenner & Smith, Inc.
    Somerset, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-08-20
  • S66 Uniform Combined State Law Examination
    2001-08-20

View on SEC IAPD

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