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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
TX RA APPROVED_RES 2016-03-01
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2016-03-01

Branch Locations

225 Liberty St, New York, NY 10281 • 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 New York NY 08/1998 Present
Bank Of America, N.A. New York NY 12/2009 Present
Other Businesses

I*2631269, Entity Type: , Name of OBA: G K. A Estate, Address: Yonkers, New York, 10710, Investment Related: N, Position, Title, Association: Administrator, Employee State Date: 07/17/2025, No Hours: 2 Monthly, No Hours during Trading: 0 Monthly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1998-12-23
  • S66 Uniform Combined State Law Examination
    1998-12-23
Other Names
  • Rodrigo K Alvarez

View on SEC IAPD

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