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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 2015-08-03
  • TX RA
    APPROVED
    Since 2015-08-03

Branch Locations

3660 N Belt Line Rd, Irving, TX 75062 • 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. Coppell TX 07/2015 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Coppell TX 07/2015 Present
Previous Registrations
  • 2014-03-14 → 2015-06-10
    Pnc Managed Account Solutions, Inc.
    Grapevine, TX
  • 2012-10-01 → 2014-02-25
    Irving, TX
    Irving, TX
    Grand Prairie, TX
    Dallas, TX
  • 2011-08-01 → 2012-10-01
    Chase Investment Services Corp.
    Irving, TX
    Irving, TX
    Dallas, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-07-29
S63 Uniform Securities Agent State Law Examination 2007-07-26
  • S66 Uniform Combined State Law Examination
    2011-07-29
  • S63 Uniform Securities Agent State Law Examination
    2007-07-26
Other Names
  • Ben Rijal

View on SEC IAPD

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