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Carolyn Marie Harris

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Florham Park, NJ

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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_RES 2017-07-27
NJ RA APPROVED 2017-07-26
  • TX RA
    APPROVED_RES
    Since 2017-07-27
  • NJ RA
    APPROVED
    Since 2017-07-26

Branch Locations

100 Campus Dr, Florham Park, NJ 07932 • 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
Ameriprise Financial Services, Inc. Westfield NJ 10/2013 07/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Florham Park NJ 07/2017 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-07-17
S63 Uniform Securities Agent State Law Examination 2000-08-28
  • S65 Uniform Investment Adviser Law Examination
    2009-07-17
  • S63 Uniform Securities Agent State Law Examination
    2000-08-28
Other Names
  • Carolyn Marie Emr
  • Carolyn Marie Harris
  • Carolyn Harris

View on SEC IAPD

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Other Offices

WISS PRIVATE CLIENT ADVISORS, LLC · FLORHAM PARK, NJ
JACOBS LEVY EQUITY MANAGEMENT · FLORHAM PARK, NJ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FLORHAM PARK, NJ
JACOBS LEVY EQUITY MANAGEMENT · FLORHAM PARK, NJ
JACOBS LEVY EQUITY MANAGEMENT · FLORHAM PARK, NJ
AMERIPRISE FINANCIAL SERVICES, LLC · FLORHAM PARK, NJ
WELLS FARGO CLEARING SERVICES, LLC · FLORHAM PARK, NJ
ROBERT W. BAIRD & CO. INCORPORATED · Florham Park, NJ

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