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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
TX RA APPROVED 2016-05-23
CT RA APPROVED 2016-05-02
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED
    Since 2016-05-23
  • CT RA
    APPROVED
    Since 2016-05-02

Branch Locations

225 Liberty St Pbig - New York, New York, NY 10281 • 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 New York NY 03/2016 Present
Previous Registrations
Other Businesses

I*2049257, Entity Type: Fiduciary, Name of OBA: JI, Address: Aberdeen, New Jersey, 07747, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 07/12/2023, No Hours: 2 Yearly, No Hours during Trading: 0 Yearly, Duties: I*2172293, Entity Type: , Name of OBA: Estate of M N, Address: Cranford, New Jersey, 07016, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 21-Jan-2025, No Hours: 5 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-06-30
  • S66 Uniform Combined State Law Examination
    2014-06-30
Other Names
  • Lisa Meiling Sze
  • Lisa Sze

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