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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 2010-07-06
PA RA APPROVED 2010-07-01
DE RA APPROVED 2010-06-29
  • TX RA
    APPROVED
    Since 2010-07-06
  • PA RA
    APPROVED
    Since 2010-07-01
  • DE RA
    APPROVED
    Since 2010-06-29

Branch Locations

724 W Lancaster Ave Pbig - Wayne, Wayne, PA 19087 • 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 Philadelphia PA 05/2010 Present
Bank Of America, N.A. Philadelphia PA 02/2015 Present
Previous Registrations
Other Businesses

BUSINESS NAME: LEGG MASON GLOBAL ASSET MANAGEMENT; PERSONAL FIDUCIARY ROLE EFFECTIVE 08/12/2010. I*2052275, Entity Type Fiduciary, Name of OBA: LW Address: Claymont, Delaware, 19703 Investment Related: Yes Position, Title, Association: Power of Attorney Employee Start Date: 24-Sep-2024 No Hours: 1 Yearly No Hours during trading: 0 Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-06-28
  • S66 Uniform Combined State Law Examination
    2010-06-28
Designations

View on SEC IAPD

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