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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 2021-08-11
CT RA APPROVED 2020-03-10
  • TX RA
    APPROVED_RES
    Since 2021-08-11
  • CT RA
    APPROVED
    Since 2020-03-10

Branch Locations

101 Derby St, Hingham, MA 02043 • United States

Disclosures

2 disclosure categories 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Hingham MA 12/2016 Present
Unemployed Kingston MA 02/2016 12/2016
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-01-29
  • S66 Uniform Combined State Law Examination
    2020-01-29

View on SEC IAPD

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