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Trace Shapiro

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Fort Lauderdale, FL

Savannah, GA

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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 2014-11-13
FL RA APPROVED 2011-11-04
  • TX RA
    APPROVED
    Since 2014-11-13
  • FL RA
    APPROVED
    Since 2011-11-04

Branch Locations

401 E Las Olas Blvd, Fort Lauderdale, FL 33301 • United States

22 Bull St, Savannah, GA 31401 • 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 10/2011 Present
Bank Of America, N.A. Miami FL 08/2015 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-07-14
S63 Uniform Securities Agent State Law Examination 2010-12-29
  • S66 Uniform Combined State Law Examination
    2011-07-14
  • S63 Uniform Securities Agent State Law Examination
    2010-12-29
Other Names
  • Trace R Shapiro
  • Trace Ryan Shapiro

View on SEC IAPD

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