Best Investors Account Sign in
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
NJ RA APPROVED 2009-10-23
  • NY RA
    APPROVED
    Since 2021-04-19
  • NJ RA
    APPROVED
    Since 2009-10-23

Branch Locations

One Bryant Park, New York, NY 10036 • 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, N.A New York NY 02/2008 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 10/2009 Present
Previous Registrations
  • 2009-04-22 → 2009-10-23
    Banc Of America Investment Services, Inc.
    New York, NY
    New York, NY
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-04-20
S63 Uniform Securities Agent State Law Examination 2000-11-27
  • S66 Uniform Combined State Law Examination
    2009-04-20
  • S63 Uniform Securities Agent State Law Examination
    2000-11-27

View on SEC IAPD

More in New York, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor