Sean P Keenan

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	2016-07-13
CA	RA	APPROVED	2015-09-10

TX RA
APPROVED

Since 2016-07-13
CA RA
APPROVED

Since 2015-09-10

Branch Locations

800 E Colorado Blvd, Pasadena, CA 91101 • United States

San Dimas, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Bank Of America, N.A.	Pasadena	CA	08/2015	Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Pasadena	CA	08/2015	Present

08/2015 → Present

Bank Of America, N.A.

Pasadena, CA
08/2015 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pasadena, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2015-09-09
S63	Uniform Securities Agent State Law Examination	2008-02-20

S65 Uniform Investment Adviser Law Examination

2015-09-09
S63 Uniform Securities Agent State Law Examination

2008-02-20

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Exams

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