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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 2022-03-29
NJ RA APPROVED 2022-03-10
  • TX RA
    APPROVED_RES
    Since 2022-03-29
  • NJ RA
    APPROVED
    Since 2022-03-10

Branch Locations

Cedar Grove, NJ • United States

1100-1800 American Blvd Ci Client Management, Pennington, NJ 08534 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Axa Advisors, Llc New York NY 08/2018 02/2019
Les Halles Downtown New York NY 10/2014 05/2017
Unemployed New York NY 04/2019 02/2021
Equitable Advisors, Llc. New York NY 03/2021 09/2021
Unemployed New York NY 06/2017 07/2018
Northwestern Mutual Life Insurance Company Milwaukee WI 09/2021 12/2021
Northwestern Mutual Investment Services Llc New York NY 10/2021 12/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pennington NJ 12/2021 Present
Bank Of America, N.A. Pennington NJ 03/2022 Present
  • 08/2018 → 02/2019
    Axa Advisors, Llc
    New York, NY
  • 10/2014 → 05/2017
    Les Halles Downtown
    New York, NY
  • 04/2019 → 02/2021
    Unemployed
    New York, NY
  • 03/2021 → 09/2021
    Equitable Advisors, Llc.
    New York, NY
  • 06/2017 → 07/2018
    Unemployed
    New York, NY
  • 09/2021 → 12/2021
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 10/2021 → 12/2021
    Northwestern Mutual Investment Services Llc
    New York, NY
  • 12/2021 → Present
    Pennington, NJ
  • 03/2022 → Present
    Bank Of America, N.A.
    Pennington, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-03-09
S63 Uniform Securities Agent State Law Examination 2021-02-08
  • S66 Uniform Combined State Law Examination
    2022-03-09
  • S63 Uniform Securities Agent State Law Examination
    2021-02-08

View on SEC IAPD

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