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Heather Catherine Freeman

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Worcester, 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 2021-03-16
CT RA APPROVED 2009-11-12
  • TX RA
    APPROVED_RES
    Since 2021-03-16
  • CT RA
    APPROVED
    Since 2009-11-12

Branch Locations

100 Front St, Worcester, MA 01608 • 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 Westborough MA 10/2009 Present
Bank Of America, N.A. Worcester MA 05/2011 Present
Previous Registrations
  • 2006-10-04 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Westborough, MA
    Worcester, MA
    Marlborough, MA
    Westborough, MA
    Worcester, MA
  • 2006-08-22 → 2006-09-29
    Osaic Fs, Inc.
    Waltham, MA
    Newton, MA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-03-16
S63 Uniform Securities Agent State Law Examination 2004-07-15
  • S66 Uniform Combined State Law Examination
    2006-03-16
  • S63 Uniform Securities Agent State Law Examination
    2004-07-15
Other Names
  • Heather Catherine Arndt

View on SEC IAPD

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