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Diane Marie Sullivan

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, NC

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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_RES 2014-01-03
NC RA APPROVED 2007-01-26
  • TX RA
    APPROVED_RES
    Since 2014-01-03
  • NC RA
    APPROVED
    Since 2007-01-26

Branch Locations

13510 Ballantyne Corporate Pl, Charlotte, NC 28277 • 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 : 7691 Charlotte NC 01/2007 Present
Bank Of America, N.A. Charlotte NC 07/2011 Present
  • 01/2007 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Charlotte, NC
  • 07/2011 → Present
    Bank Of America, N.A.
    Charlotte, NC
Previous Registrations
  • 2006-11-08 → 2007-01-26
    Mid Atlantic Financial Management, Inc.
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-11-06
  • S66 Uniform Combined State Law Examination
    2006-11-06
Other Names
  • Diane Marie Witkowski

View on SEC IAPD

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