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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 2012-11-19
CT RA APPROVED 2009-11-12
  • TX RA
    APPROVED_RES
    Since 2012-11-19
  • CT RA
    APPROVED
    Since 2009-11-12

Branch Locations

101 Derby St, Hingham, MA 02043 • 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 Hingham MA 10/2009 Present
Bank Of America, N.A. Hingham MA 07/2011 Present
Previous Registrations
  • 2007-01-22 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Hingham, MA
  • 2005-12-08 → 2007-01-11
    Ifmg Securities, Inc.
    Norwood, MA
  • 2005-02-22 → 2005-12-16
    Waddell & Reed
    Waltham, MA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-12-30
  • S66 Uniform Combined State Law Examination
    2004-12-30

View on SEC IAPD

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