Best Investors Account Sign in
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2012-10-10
FL RA APPROVED 2009-10-23
NJ RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2012-10-10
  • FL RA
    APPROVED
    Since 2009-10-23
  • NJ RA
    APPROVED
    Since 2009-10-23

Branch Locations

200 Central Ave, Saint Petersburg, FL 33701 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Tampa FL 10/2009 Present
Bank Of America, N.A. Saint Petersburg FL 07/2011 Present
Previous Registrations
  • 2004-10-20 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Bridgewater, NJ
    Somerville, NJ
    Tampa, FL
    Somerville, NJ
  • 2004-05-17 → 2004-10-20
    Quick & Reilly, Inc.
    Princeton, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-05-16
S63 Uniform Securities Agent State Law Examination 2000-07-26
  • S65 Uniform Investment Adviser Law Examination
    2004-05-16
  • S63 Uniform Securities Agent State Law Examination
    2000-07-26

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Saint Petersburg, FL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor