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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 2014-10-24
CT RA APPROVED 2011-11-01
NJ RA APPROVED 2004-03-10
  • TX RA
    APPROVED_RES
    Since 2014-10-24
  • CT RA
    APPROVED
    Since 2011-11-01
  • NJ RA
    APPROVED
    Since 2004-03-10

Branch Locations

1100-1800 American Blvd Retirement & Personal Wealth Solutions, Pennington, NJ 08534 • 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, Inc. Pennington NJ 02/2000 Present
  • 02/2000 → Present
    Merrill Lynch, Pierce, Fenner & Smith, Inc.
    Pennington, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-09-15
S63 Uniform Securities Agent State Law Examination 2000-08-08
  • S66 Uniform Combined State Law Examination
    2003-09-15
  • S63 Uniform Securities Agent State Law Examination
    2000-08-08

View on SEC IAPD

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