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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2017-11-13
TX RA APPROVED_RES 2017-02-13
PA RA APPROVED 2015-10-02
  • MD RA
    APPROVED
    Since 2017-11-13
  • TX RA
    APPROVED_RES
    Since 2017-02-13
  • PA RA
    APPROVED
    Since 2015-10-02

Branch Locations

724 W Lancaster Ave, Wayne, PA 19087 • 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 Wayne PA 09/2015 Present
Bank Of America, N.A. Wayne PA 05/2018 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2015-10-07
S66 Uniform Combined State Law Examination 2008-05-19
  • S63 Uniform Securities Agent State Law Examination
    2015-10-07
  • S66 Uniform Combined State Law Examination
    2008-05-19
Other Names
  • Jim Toth
  • James I Toth

View on SEC IAPD

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