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Francis J St. Vincent

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Riverside, RI

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2023-06-21
RI RA APPROVED 2017-09-27
TX RA APPROVED 2017-09-27
  • CT RA
    APPROVED
    Since 2023-06-21
  • RI RA
    APPROVED
    Since 2017-09-27
  • TX RA
    APPROVED
    Since 2017-09-27

Branch Locations

3400 Pawtucket Ave Ci Client Services, Riverside, RI 02915 • 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 Lincoln RI 09/2014 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-09-26
S63 Uniform Securities Agent State Law Examination 2012-07-09
  • S66 Uniform Combined State Law Examination
    2017-09-26
  • S63 Uniform Securities Agent State Law Examination
    2012-07-09
Other Names
  • Frank J St. Vincent
  • Francis J St.VIncent
  • Francis J St. Vincent
  • Francis J St Vincent

View on SEC IAPD

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