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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-08-20 |
| FL | RA | APPROVED | 2017-07-28 |
Branch Locations
9000 Southside Blvd Central Business Review Unit, Jacksonville, FL 32256 • United States
Jacksonville, FL • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Jacksonville | FL | 02/2016 | Present |
I*3681280 Entity Type: SRO Name of OBA: FINRA Address: Washington, District of Columbia, 20006 Investment Related: No Position, Title, Association: Other Employee Start Date: 02/02/2026 Number of Hours: 8, Yearly Number of Hours during trading: 0 Duties: FINRA (Financial Industry Regulatory Authority) is a self-regulatory organization (SRO) authorized by Congress to oversee U.S. broker-dealers and registered representatives. Enforcing compliance with securities laws under SEC supervision. Non-Public FINRA Arbitrator. Serve on arbitration hearings as an arbitrator for FINRA.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-07-26 |
| S63 | Uniform Securities Agent State Law Examination | 2016-06-04 |
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