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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
ID RA APPROVED 2020-11-30
TX RA APPROVED_RES 2020-02-20
WA RA APPROVED 2005-07-11
  • ID RA
    APPROVED
    Since 2020-11-30
  • TX RA
    APPROVED_RES
    Since 2020-02-20
  • WA RA
    APPROVED
    Since 2005-07-11

Branch Locations

6400 S Fiddlers Green Cir, Greenwood Village, CO 80111 • United States

401 Union St, Seattle, WA 98101 • United States

601 W Riverside Ave, Spokane, WA 99201 • United States

Seattle, WA • 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 Bellevue WA 08/2004 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-07-07
  • S66 Uniform Combined State Law Examination
    2005-07-07

View on SEC IAPD

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