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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 2020-02-27
CT RA APPROVED 2020-02-03
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED
    Since 2020-02-27
  • CT RA
    APPROVED
    Since 2020-02-03

Branch Locations

2136 Bartow Ave, Bronx, NY 10475 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Yonkers NY 02/2016 Present
Bank Of America, N.A. Yonkers NY 02/2016 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-01-31
  • S66 Uniform Combined State Law Examination
    2020-01-31
Other Names
  • Oscar Colon
  • Oscar Diaz

View on SEC IAPD

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