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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 2015-03-27
FL RA APPROVED 2015-03-13
  • TX RA
    APPROVED_RES
    Since 2015-03-27
  • FL RA
    APPROVED
    Since 2015-03-13

Branch Locations

101 E Kennedy Blvd Pbig - Florida Pwm Tampa, Tampa, FL 33602 • 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 Miami FL 03/2015 Present
Previous Registrations
  • 2012-11-20 → 2015-03-13
    Miami, FL
  • 2009-02-17 → 2012-11-08
    Miami, FL
  • 2009-01-21 → 2009-02-12
    Barclays Capital Inc.
    Miami, FL
  • 2008-09-02 → 2008-10-15
    Lehman Brothers Inc.
    Miami, FL
    New York, NY
Other Businesses

I*: 2276278 Entity Type: Rental Property Name of OBA: Rental Property 1 Address: Doral, FL 33178 Investment Related: No Position, Title, Association: Sole owner Employee Start Date: 04/01/2025 Number of Hours: 3 hrs annually Number of Hours during trading: 0 Duties: Owner of rental property

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-10-20
  • S66 Uniform Combined State Law Examination
    2008-10-20
Other Names
  • Carla Rossi

View on SEC IAPD

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