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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2021-03-17
IN RA APPROVED 2011-06-03
TX RA APPROVED_RES 2011-06-03
  • SC RA
    APPROVED
    Since 2021-03-17
  • IN RA
    APPROVED
    Since 2011-06-03
  • TX RA
    APPROVED_RES
    Since 2011-06-03

Branch Locations

510 E 96Th St, Indianapolis, IN 46240 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Indianapolis IN 05/2011 Present
Bank Of America, N.A. Indianapolis IN 07/2011 Present
Previous Registrations
  • 2009-06-01 → 2011-06-08
    Indianapolis, IN
  • 2007-10-19 → 2009-06-01
    Morgan Stanley & Co. Llc
    Indianapolis, IN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-18
  • S66 Uniform Combined State Law Examination
    2007-10-18

View on SEC IAPD

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