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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 2011-12-05
WA RA APPROVED 2011-11-30
  • TX RA
    APPROVED_RES
    Since 2011-12-05
  • WA RA
    APPROVED
    Since 2011-11-30

Branch Locations

401 Union St, Seattle, WA 98101 • 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 Seattle WA 11/2011 Present
Bank Of America, N.A. Seattle WA 01/2023 Present
Previous Registrations
  • 2010-08-27 → 2011-06-27
    Kirkland, WA
  • 2008-08-18 → 2010-08-02
    Wells Fargo Investments, Llc
    Los Altos, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-08-15
  • S66 Uniform Combined State Law Examination
    2008-08-15

View on SEC IAPD

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