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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 2015-10-21
MO RA APPROVED 2013-10-11
  • TX RA
    APPROVED_RES
    Since 2015-10-21
  • MO RA
    APPROVED
    Since 2013-10-11

Branch Locations

7676 Forsyth Blvd, Clayton, MO 63105 • 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 St. Louis MO 09/2013 Present
Bank Of America, N.A. Clayton MO 01/2014 Present
Previous Registrations
Other Businesses

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Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-11-24
  • S66 Uniform Combined State Law Examination
    2009-11-24
Other Names
  • David Clifton Rath

View on SEC IAPD

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