Richard Arthur Altman

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2016-01-20
TX	RA	APPROVED	2016-01-19

FL RA
APPROVED

Since 2016-01-20
TX RA
APPROVED

Since 2016-01-19

Branch Locations

Ponte Vedra, FL • United States

9000 Southside Blvd Ci Client Services, Jacksonville, FL 32256 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Jacksonville	FL	10/2015	Present
Bank Of America N.A.	Jacksonville	FL	09/2023	Present

10/2015 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Jacksonville, FL
09/2023 → Present

Bank Of America N.A.

Jacksonville, FL

Other Businesses

I*90157 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SPORTS MEDIA TECHNOLOGY INVESTMENT RELATED: N ADDRESS OF BUSINESS: JACKSONVILLE, FLORIDA 32256 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: CONSULTANT, START DATE OF RELATIONSHIP: 8/27/2017 NUMBER OF HOURS DEVOTED: 100 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 40 DUTIES: I WAS CONTACTED BY MY FORMER EMPLOYER ABOUT THE POSSIBILITY OF WORKING AS A CONTRACTOR AT THE US OPEN TENNIS TOURNAMENT FROM 08/27/2017 THRU 09/04/2017.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-01-15

S66 Uniform Combined State Law Examination

2016-01-15

Other Names

Richard A Altman

View on SEC IAPD