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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 2012-10-22
FL RA APPROVED 2011-08-10
  • TX RA
    APPROVED
    Since 2012-10-22
  • FL RA
    APPROVED
    Since 2011-08-10

Branch Locations

8840 Sw 136Th St, Miami, FL 33176 • 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
Shay Financial Services, Inc. Miami FL 07/2006 Present
Merrill Lynch Miami FL 06/2011 Present
Bank Of America, N.A. Miami FL 07/2011 Present
  • 07/2006 → Present
    Shay Financial Services, Inc.
    Miami, FL
  • 06/2011 → Present
    Merrill Lynch
    Miami, FL
  • 07/2011 → Present
    Bank Of America, N.A.
    Miami, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-08-04
S63 Uniform Securities Agent State Law Examination 2006-11-22
  • S66 Uniform Combined State Law Examination
    2011-08-04
  • S63 Uniform Securities Agent State Law Examination
    2006-11-22

View on SEC IAPD

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