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Timothy J Smith

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Farmington Hills, MI

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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 2017-01-04
MI RA APPROVED 2015-09-14
  • TX RA
    APPROVED_RES
    Since 2017-01-04
  • MI RA
    APPROVED
    Since 2015-09-14

Branch Locations

39001 W 12 Mile Rd, Farmington Hills, MI 48331 • 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 Farmington Hills MI 09/2015 Present
Bank Of America, N.A Farmington Hills MI 12/2015 Present
Previous Registrations
  • 2010-10-01 → 2015-09-22
    Morgan Stanley
    Farmington Hills, MI
    Troy, MI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-03-18
S63 Uniform Securities Agent State Law Examination 2004-03-04
  • S65 Uniform Investment Adviser Law Examination
    2004-03-18
  • S63 Uniform Securities Agent State Law Examination
    2004-03-04
Other Names
  • Timothy John Smith

View on SEC IAPD

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