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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 2022-03-01
CT RA APPROVED 2022-01-12
  • TX RA
    APPROVED
    Since 2022-03-01
  • CT RA
    APPROVED
    Since 2022-01-12

Branch Locations

301 Tresser Blvd, Stamford, CT 06901 • 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
Jpmorgan Securities Llc Stamford CT 02/2015 04/2018
Jpmorgan Chase Bank Stamford CT 01/2014 04/2018
Lpl Financial Darien CT 06/2018 11/2019
Webster Bank N.A. Darien CT 04/2018 11/2019
Wells Fargo Bank, Na Stamford CT 11/2019 Present
Wells Fargo Clearing Services, Llc Stamford CT 12/2019 11/2021
Blue Jay Orchards Bethel CT 09/2018 10/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Stamford CT 11/2021 Present
  • 02/2015 → 04/2018
    Jpmorgan Securities Llc
    Stamford, CT
  • 01/2014 → 04/2018
    Jpmorgan Chase Bank
    Stamford, CT
  • 06/2018 → 11/2019
    Lpl Financial
    Darien, CT
  • 04/2018 → 11/2019
    Webster Bank N.A.
    Darien, CT
  • 11/2019 → Present
    Wells Fargo Bank, Na
    Stamford, CT
  • 12/2019 → 11/2021
    Stamford, CT
  • 09/2018 → 10/2019
    Blue Jay Orchards
    Bethel, CT
  • 11/2021 → Present
    Stamford, CT
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-02-08
S63 Uniform Securities Agent State Law Examination 2015-05-08
  • S66 Uniform Combined State Law Examination
    2021-02-08
  • S63 Uniform Securities Agent State Law Examination
    2015-05-08

View on SEC IAPD

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