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James Robert Vittoria

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Riverside, RI

New York, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2016-12-02
TX RA APPROVED 2016-12-02
  • RI RA
    APPROVED
    Since 2016-12-02
  • TX RA
    APPROVED
    Since 2016-12-02

Branch Locations

3400 Pawtucket Ave Central Business Review Unit, Riverside, RI 02915 • United States

One Bryant Park, New York, NY 10036 • 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 Lincoln RI 03/2015 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-12-01
S63 Uniform Securities Agent State Law Examination 2015-06-13
  • S66 Uniform Combined State Law Examination
    2016-12-01
  • S63 Uniform Securities Agent State Law Examination
    2015-06-13
Other Names
  • Robert Vittoria
  • Rob Vittoria

View on SEC IAPD

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