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Richard Jon Fuller

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, NC

Melville, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2009-10-23
  • NC RA
    APPROVED
    Since 2009-10-23

Branch Locations

13510 Ballantyne Corp Pl, Charlotte, NC 28277 • United States

300 Broadhollow Rd, Melville, NY 11747 • 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
Bank Of America, Na Charlotte NC 10/1995 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Charlotte NC 10/2009 Present
Bank Of America, N.A. Charlotte NC 04/2011 Present
Previous Registrations
  • 2007-10-24 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Charlotte, NC
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-09-28
  • S66 Uniform Combined State Law Examination
    2007-09-28
Other Names
  • Richard Fuller

View on SEC IAPD

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