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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 2016-09-28
FL RA APPROVED 2016-09-27
  • TX RA
    APPROVED_RES
    Since 2016-09-28
  • FL RA
    APPROVED
    Since 2016-09-27

Branch Locations

525 Washington Blvd Investment Solutions Group, Jersey City, NJ 07310 • United States

9000 Southside Blvd Bldg 400, Jacksonville, FL 32256 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal Yes
  • 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 Jacksonville FL 04/2016 Present
Bank Of America, N.A. Jacksonville FL 08/2016 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-09-22
  • S66 Uniform Combined State Law Examination
    2016-09-22
Other Names
  • Tina Liza

View on SEC IAPD

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