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George N Simmons

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New Haven, CT

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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_RES 2026-05-12
NC RA APPROVED 2024-09-04
CT RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2026-05-12
  • NC RA
    APPROVED
    Since 2024-09-04
  • CT RA
    APPROVED
    Since 2009-10-23

Branch Locations

157 Church St, New Haven, CT 06510 • 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 Old Lyme CT 10/2009 Present
Bank Of America, N.A. New Haven CT 07/2011 Present
Previous Registrations
  • 2004-10-20 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Wallingford, CT
    Wallingford, CT
    Meriden, CT
    Old Lyme, CT
    Wallingford, CT
    Wallingford, CT
    Meriden, CT
    Meriden, CT
  • 2002-12-04 → 2004-10-20
    Quick & Reilly, Inc.
    Wallingford, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-05-12
S63 Uniform Securities Agent State Law Examination 2000-04-20
  • S65 Uniform Investment Adviser Law Examination
    2000-05-12
  • S63 Uniform Securities Agent State Law Examination
    2000-04-20
Other Names
  • George N Simmons
  • George Nathan Simmons

View on SEC IAPD

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UBS FINANCIAL SERVICES INC. · NEW HAVEN, CT
STRATEGIC ADVISERS LLC · NEW HAVEN, CT
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WASHINGTON TRUST ADVISORS · NEW HAVEN, CT
LPL FINANCIAL LLC · NEW HAVEN, CT
RAYMOND JAMES & ASSOCIATES, INC. · NEW HAVEN, CT
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