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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 2007-05-23
FL RA APPROVED 2005-12-14
  • TX RA
    APPROVED
    Since 2007-05-23
  • FL RA
    APPROVED
    Since 2005-12-14

Branch Locations

701 Brickell Ave, Miami, FL 33131 • United States

Miami, FL • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 Coral Gables FL 04/2005 Present
Bank Of America Na Miami FL 02/2011 Present
  • 04/2005 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Coral Gables, FL
  • 02/2011 → Present
    Bank Of America Na
    Miami, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-12-12
  • S66 Uniform Combined State Law Examination
    2005-12-12

View on SEC IAPD

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