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Steven Raymond Lucas

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

Riverside, RI

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2011-09-20
RI RA APPROVED 2009-10-23
  • CT RA
    APPROVED
    Since 2011-09-20
  • RI RA
    APPROVED
    Since 2009-10-23

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

3400 Pawtucket Ave, Riverside, RI 02915 • 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, N.A. Boston MA 05/2009 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Boston MA 10/2009 Present
Previous Registrations
  • 2007-10-25 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Lincoln, RI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-07-02
  • S66 Uniform Combined State Law Examination
    2007-07-02

View on SEC IAPD

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