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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 2008-10-21
VA RA APPROVED 2007-10-05
  • TX RA
    APPROVED
    Since 2008-10-21
  • VA RA
    APPROVED
    Since 2007-10-05

Branch Locations

11820 Fountain Way, Newport News, VA 23606 • 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 Williamsburg VA 09/2007 Present
Previous Registrations
Other Businesses

I*: 2957264 Entity Type: Fiduciary role Name of OBA: MRS S. C. N. TOD BENEFICIARIES ON FILE Address: WILLIAMSBURG, VA 23188 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 10/06/2025 Number of Hours: 5 hrs annually Number of Hours during trading: 0 Duties: Power of Attorney/ Parents

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-03-30
  • S66 Uniform Combined State Law Examination
    2007-03-30
Other Names
  • Dana Kay Newman
  • Dana K Newman

View on SEC IAPD

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