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Siobhan Spillane Cummings

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Florham Park, NJ

Upper Saddle River, NJ

CRD 4758890

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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

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
NJ RA APPROVED 2015-11-16
TX RA APPROVED_RES 2015-07-28
  • NY RA
    APPROVED
    Since 2021-04-19
  • NJ RA
    APPROVED
    Since 2015-11-16
  • TX RA
    APPROVED_RES
    Since 2015-07-28

Branch Locations

100 Campus Dr Division - Mid Atlantic, Florham Park, NJ 07932 • United States

Upper Saddle River, 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 Incorporated Paramus NJ 06/2015 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-11-13
S63 Uniform Securities Agent State Law Examination 2004-05-13
  • S66 Uniform Combined State Law Examination
    2015-11-13
  • S63 Uniform Securities Agent State Law Examination
    2004-05-13
Other Names
  • Siobhan Spillane
  • Siobhan Sarah Spillane
  • Siobhan Sarah Cummings

View on SEC IAPD

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