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Kenneth O'TOole

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Wellesley Hills, MA

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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 2017-07-06
CT RA APPROVED 2017-06-20
  • TX RA
    APPROVED_RES
    Since 2017-07-06
  • CT RA
    APPROVED
    Since 2017-06-20

Branch Locations

45 William St, Wellesley Hills, MA 02481 • 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 No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
E*Trade Capital Management Llc Boston MA 11/2014 06/2017
E*Trade Securities Llc Boston MA 11/2014 06/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Newton MA 06/2017 Present
Bank Of America, N.A. Newton MA 08/2017 Present
  • 11/2014 → 06/2017
    E*Trade Capital Management Llc
    Boston, MA
  • 11/2014 → 06/2017
    E*Trade Securities Llc
    Boston, MA
  • 06/2017 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Newton, MA
  • 08/2017 → Present
    Bank Of America, N.A.
    Newton, MA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-02-21
S63 Uniform Securities Agent State Law Examination 2004-09-27
  • S66 Uniform Combined State Law Examination
    2006-02-21
  • S63 Uniform Securities Agent State Law Examination
    2004-09-27
Other Names
  • Kenneth O'TOole
  • Kenneth George O'TOole
  • Ken Otoole
  • Kenneth Otoole
  • Kenneth George Otoole

View on SEC IAPD

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