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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
TX RA APPROVED 2020-08-19
CT RA APPROVED 2020-08-06
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED
    Since 2020-08-19
  • CT RA
    APPROVED
    Since 2020-08-06

Branch Locations

25 Burlington Mall Rd Workplace Benefits, Burlington, MA 01803 • United States

1241 Pittsford Victor Rd, Pittsford, NY 14534 • 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
John Hancock Victor NY 10/2004 07/2020
John Hancock Distributors Llc Chester Springs PA 11/2004 07/2020
Merrill Lynch, Pierce Fenner & Smith Incorporated Rochester NY 07/2020 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-08-05
S63 Uniform Securities Agent State Law Examination 2005-04-12
  • S66 Uniform Combined State Law Examination
    2020-08-05
  • S63 Uniform Securities Agent State Law Examination
    2005-04-12
Other Names
  • Courtney N Hoock

View on SEC IAPD

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