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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-04-24 |
| TX | RA | APPROVED | 2014-04-30 |
| CO | RA | APPROVED | 2013-08-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Denver | CO | 05/2013 | Present |
| Bank Of America, N.A. | Denver | CO | 12/2013 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-08-17 |
| S65 | Uniform Investment Adviser Law Examination | 2003-07-12 |
| S63 | Uniform Securities Agent State Law Examination | 2000-07-01 |
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