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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2020-12-22
PA RA APPROVED 2020-12-08
CT RA APPROVED 2015-06-16
  • SC RA
    APPROVED
    Since 2020-12-22
  • PA RA
    APPROVED
    Since 2020-12-08
  • CT RA
    APPROVED
    Since 2015-06-16

Branch Locations

200 Meeting St, Charleston, SC 29401 • United States

620 S Tryon St, Charlotte, NC 28255 • 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 Boston MA 10/2014 Present
Bank Of America, N.A. Boston MA 10/2014 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-06-15
  • S66 Uniform Combined State Law Examination
    2015-06-15

View on SEC IAPD

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