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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2010-06-24
TX RA APPROVED_RES 2004-09-08
  • PA RA
    APPROVED
    Since 2010-06-24
  • TX RA
    APPROVED_RES
    Since 2004-09-08

Branch Locations

1225 S Main St, Greensburg, PA 15601 • United States

Johnstown, PA • 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 Johnstown PA 08/1998 Present
Bank Of America, Na Greensburg PA 12/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-06-11
S66 Uniform Combined State Law Examination 1998-12-03
  • S65 Uniform Investment Adviser Law Examination
    2010-06-11
  • S66 Uniform Combined State Law Examination
    1998-12-03
Other Names
  • Rick Williams
  • Rich Williams
  • Richard T (Jr) Williams

View on SEC IAPD

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