Stephen Rozzero

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2013-11-18
RI	RA	APPROVED	2009-02-06

TX RA
APPROVED_RES

Since 2013-11-18
RI RA
APPROVED

Since 2009-02-06

Branch Locations

1 Financial Plaza, Providence, RI 02903 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Providence	RI	04/2007	Present
Bank Of America, N.A.	Providence	RI	07/2011	Present

04/2007 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Providence, RI
07/2011 → Present

Bank Of America, N.A.

Providence, RI

Other Businesses

I*510926, Entity Type: Entity For Profit, Name of OBA: Rental Property 1, Address: Providence , Rhode Island 02903, Investment Related: N, Position, Title, Association: Sole owner, Employee Start Date: 07/01/2021, No Hours: 3, No Hours during trading: 0, Duties: Owner of Rental Property

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-02-04

S66 Uniform Combined State Law Examination

2009-02-04