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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2007-11-15
TX RA APPROVED_RES 2007-11-09
  • FL RA
    APPROVED
    Since 2007-11-15
  • TX RA
    APPROVED_RES
    Since 2007-11-09

Branch Locations

8840 Sw 136Th St, Miami, FL 33176 • 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 : 7691 Miami FL 11/2007 Present
Bank Of America, Na Miami FL 12/2009 Present
  • 11/2007 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Miami, FL
  • 12/2009 → Present
    Bank Of America, Na
    Miami, FL
Previous Registrations
  • 2004-08-23 → 2007-11-14
    A. G. Edwards & Sons, Inc.
    Coral Gables, FL
    Coral Gables, FL
Other Businesses

50% OWNERSHIP - FORTUNE RESOURCES, LLC., 16112 SW 74 PLACE, MIAMI, FL 33157. THE TYPE OF BUSINESS IS REAL ESTATE. WORKS LESS THAN 10 HOURS PER MONTH AND 0 DURING SECURITIES TRADING HOURS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-08-18
  • S66 Uniform Combined State Law Examination
    2004-08-18

View on SEC IAPD

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