Nicole A Sweeten

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-19
TX	RA	APPROVED_RES	2009-06-25
CT	RA	APPROVED	2008-11-24

NY RA
APPROVED

Since 2021-04-19
TX RA
APPROVED_RES

Since 2009-06-25
CT RA
APPROVED

Since 2008-11-24

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

One Bryant Park,, New York, NY 10036 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Stamford	CT	11/2008	09/2021
Garden City	Garden City	NY	09/2021	Present
Bank Of America, N.A.	Garden City	NY	10/2021	Present

11/2008 → 09/2021

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Stamford, CT
09/2021 → Present

Garden City

Garden City, NY
10/2021 → Present

Bank Of America, N.A.

Garden City, NY

Previous Registrations

2006-12-07 → 2008-11-10

Banc Of America Investment Services, Inc.

Madsion, CT

Milford, CT

Milford, CT

Clinton, CT

Other Businesses

I*136363For profit or not for profit: For-Profit OrganizationName of outside business organization: Rodan & FieldsInvestment related: NAddress of business:Massapequa Park, New York 11762Nature of business: Other,multi-level marketinng companyPosition, title, association: Consultant, Start date of relationship: 3/2/2021Number of hours devoted: 20 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: Rodan & Fields is a skincare company. Sales are conducted online and over the phone. There is no physical store. I would be a Consultant. Rodan and Fields is a multi-level marketing company

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-05-19

S66 Uniform Combined State Law Examination

2006-05-19

Other Names

Nicole Anne Sweeten

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