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David Finkelstein

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

New York, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-12-20
  • NY RA
    APPROVED
    Since 2022-12-20

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

1114 Avenue Of The Americas, New York, NY 10036 • 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 Jersey City NJ 03/2014 10/2018
Jpmorgan Chase Bank Na New York NY 11/2018 11/2022
Jpmorgan Securities Llc New York NY 11/2018 11/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 11/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-08-25
  • S66 Uniform Combined State Law Examination
    2014-08-25
Other Names
  • David Benjamin Finkelstein

View on SEC IAPD

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