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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 2023-03-08
  • TX RA
    APPROVED
    Since 2023-03-08

Branch Locations

1 Cowboys Way, Frisco, TX 75034 • 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
Raymond James Financial Services, Inc. Frisco TX 09/2018 03/2019
Homemaker/Unemployed Frisco TX 02/2016 09/2018
Raymond James Financial Services, Inc. Plano TX 03/2019 02/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated Frisco TX 02/2023 Present
  • 09/2018 → 03/2019
    Raymond James Financial Services, Inc.
    Frisco, TX
  • 02/2016 → 09/2018
    Homemaker/Unemployed
    Frisco, TX
  • 03/2019 → 02/2023
    Raymond James Financial Services, Inc.
    Plano, TX
  • 02/2023 → Present
    Frisco, TX
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-03-03
S63 Uniform Securities Agent State Law Examination 2005-08-02
  • S66 Uniform Combined State Law Examination
    2019-03-03
  • S63 Uniform Securities Agent State Law Examination
    2005-08-02
Other Names
  • Sarah Emily Smith
  • Emily Smith

View on SEC IAPD

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