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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 2014-02-12
NJ RA APPROVED 2014-02-06
  • TX RA
    APPROVED
    Since 2014-02-12
  • NJ RA
    APPROVED
    Since 2014-02-06

Branch Locations

1100-1800 American Blvd , Pennington, NJ 08534 • United States

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

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • 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 Pennington NJ 04/2012 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-01-31
S63 Uniform Securities Agent State Law Examination 2013-11-25
  • S65 Uniform Investment Adviser Law Examination
    2014-01-31
  • S63 Uniform Securities Agent State Law Examination
    2013-11-25
Other Names
  • Jessica Koen

View on SEC IAPD

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