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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 2023-03-03
CT RA APPROVED 2023-03-02
  • TX RA
    APPROVED
    Since 2023-03-03
  • CT RA
    APPROVED
    Since 2023-03-02

Branch Locations

157 Church St, New Haven, CT 06510 • 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 Stratford CT 04/2016 03/2022
Citigroup Fairfield CT 04/2022 01/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated New Haven CT 01/2023 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-07-14
  • S66 Uniform Combined State Law Examination
    2016-07-14

View on SEC IAPD

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