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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2025-01-25
  • NC RA
    APPROVED
    Since 2025-01-25

Branch Locations

1 N Pack Sq, Asheville, NC 28801 • United States

301 Tresser Blvd Office Of Cao - Awl Local Markets Organization, Stamford, CT 06901 • 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 Asheville NC 04/2017 Present
Spring Mobile Arden NC 07/2016 04/2017
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-01-24
  • S66 Uniform Combined State Law Examination
    2025-01-24

View on SEC IAPD

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