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Gregg Woolven

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Greenwich, CT

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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 2024-10-18
CT RA APPROVED 2024-10-10
  • TX RA
    APPROVED
    Since 2024-10-18
  • CT RA
    APPROVED
    Since 2024-10-10

Branch Locations

2 Pickwick Plz, Greenwich, CT 06830 • 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
Trinet White Plains NY 11/2014 09/2017
Principal Securities, Inc. Cos Cob CT 10/2016 11/2018
Advanced Corporation Solutions New York NY 08/2017 07/2019
Wells Fargo Clearing Services, Llc Greenwich CT 07/2019 06/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated Greenwich CT 09/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-07-19
S63 Uniform Securities Agent State Law Examination 2010-03-01
  • S65 Uniform Investment Adviser Law Examination
    2010-07-19
  • S63 Uniform Securities Agent State Law Examination
    2010-03-01
Other Names
  • Gregg Lawson Woolven
  • Gregg Lawson Woolven
  • Gregg Lawson Woolven

View on SEC IAPD

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