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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 2004-07-29
GA RA APPROVED 2004-04-07
  • TX RA
    APPROVED_RES
    Since 2004-07-29
  • GA RA
    APPROVED
    Since 2004-04-07

Branch Locations

3455 Peachtree Rd Ne, Atlanta, GA 30326 • 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. Atlanta GA 12/1999 Present
Bank Of America, Na Atlanta GA 11/2009 Present
  • 12/1999 → Present
    Merrill Lynch Pierce, Fenner & Smith Inc.
    Atlanta, GA
  • 11/2009 → Present
    Bank Of America, Na
    Atlanta, GA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-02-25
  • S66 Uniform Combined State Law Examination
    2000-02-25

View on SEC IAPD

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