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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 2023-08-16
FL RA APPROVED 2023-08-08
  • TX RA
    APPROVED
    Since 2023-08-16
  • FL RA
    APPROVED
    Since 2023-08-08

Branch Locations

19495 Biscayne Blvd, Aventura, FL 33180 • 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
Wells Fargo Advisors, Llc. Aventura FL 03/2016 11/2016
Wells Fargo Bank Na Aventura FL 08/2013 07/2018
Wells Fargo Clearing Services, Llc Aventura FL 11/2016 07/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Miami FL 06/2019 08/2021
Unemployed Miami FL 07/2018 06/2019
Morgan Stanley Aventura FL 09/2021 02/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated Aventura FL 07/2023 Present
Unemployed Miami FL 02/2023 07/2023
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-05-28
S63 Uniform Securities Agent State Law Examination 2016-05-10
  • S66 Uniform Combined State Law Examination
    2022-05-28
  • S63 Uniform Securities Agent State Law Examination
    2016-05-10

View on SEC IAPD

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