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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2024-01-18
TX RA APPROVED_RES 2018-03-19
DE RA APPROVED 2015-12-11
  • PA RA
    APPROVED
    Since 2024-01-18
  • TX RA
    APPROVED_RES
    Since 2018-03-19
  • DE RA
    APPROVED
    Since 2015-12-11

Branch Locations

2951 Centerville Rd, Wilmington, DE 19808 • United States

Philadelphia, PA • 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 Wilmington DE 11/2015 Present
Bank Of America, N.A. Wilmington DE 12/2015 Present
Previous Registrations
  • 2015-01-02 → 2015-10-19
    Msi Financial Services, Inc.
    Newtown Square, PA
  • 2013-12-11 → 2015-01-02
    New England Securities
    Newtown Square, PA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-10-24
  • S66 Uniform Combined State Law Examination
    2013-10-24

View on SEC IAPD

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