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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 2015-06-17
SC RA APPROVED 2015-06-04
  • TX RA
    APPROVED_RES
    Since 2015-06-17
  • SC RA
    APPROVED
    Since 2015-06-04

Branch Locations

520 Newport Center Dr, Newport Beach, CA 92660 • United States

75 Port City Lndg, Mount Pleasant, SC 29464 • United States

Mount Pleasant, SC • 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 Charleston SC 05/2015 Present
Previous Registrations
Other Businesses

I*1350265 For profit or not for profit: Name of outside business organization: The Real Real Investment related: N Address of business: OBA, OBA, OBA Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , Periodically consign clothes through The Real Real

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-12-17
S63 Uniform Securities Agent State Law Examination 2009-05-29
  • S66 Uniform Combined State Law Examination
    2009-12-17
  • S63 Uniform Securities Agent State Law Examination
    2009-05-29

View on SEC IAPD

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