Joanne R Farrell

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2005-01-13
CA	RA	APPROVED	2004-11-23

TX RA
APPROVED

Since 2005-01-13
CA RA
APPROVED

Since 2004-11-23

Branch Locations

1424 State St, Santa Barbara, CA 93101 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Santa Barbara	CA	09/1999	Present

09/1999 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Santa Barbara, CA

Other Businesses

I*463932, Entity Type, Name of OBA: Notary Address: Santa BarbaraCalifornia93101 Investment Related:No Position, Title, Association: Notary Employee Start Date: 06/19/2025No Hours: 2 monthly No Hours during trading: 2 monthly Duties:Financial Industry, Notarize Merrill Documents.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-11-22

S66 Uniform Combined State Law Examination

2004-11-22

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

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