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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 2019-08-23
CA RA APPROVED 2019-08-06
  • TX RA
    APPROVED
    Since 2019-08-23
  • CA RA
    APPROVED
    Since 2019-08-06

Branch Locations

555 Capitol Mall, Sacramento, CA 95814 • 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 Sacramento CA 01/2013 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-07-20
  • S66 Uniform Combined State Law Examination
    2019-07-20

View on SEC IAPD

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Other Offices

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