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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-05-18
TX RA APPROVED_RES 2017-05-09
  • NY RA
    APPROVED
    Since 2021-05-18
  • TX RA
    APPROVED_RES
    Since 2017-05-09

Branch Locations

18 Division St, Saratoga Springs, NY 12866 • 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 Saratoga Springs NY 02/2017 Present
Goldman, Sachs & Co. Latham NY 04/2016 02/2017
Bank Of America, N.A. Saratoga Springs NY 05/2017 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-04-04
  • S66 Uniform Combined State Law Examination
    2008-04-04
Other Names
  • Adam Richard Swartz
  • Adam Richard Swartz
  • Adam Swartz
  • Adam R Minor- Swartz
  • Adam R Minor-Swartz
  • Adam Minor-Swartz
  • Adam Richard Minor-Swartz

View on SEC IAPD

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