John Harold Axley

Merrill Lynch, Pierce, Fenner & Smith Incorporated

North Bethesda, MD

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Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2002-08-16
MD	RA	APPROVED	1992-03-11

TX RA
APPROVED_RES

Since 2002-08-16
MD RA
APPROVED

Since 1992-03-11

Branch Locations

11810 Grand Park Ave, North Bethesda, MD 20852 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Rockville	MD	03/1990	Present
Bank Of America, N.A.	Rockville	MD	03/2010	Present

03/1990 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Rockville, MD
03/2010 → Present

Bank Of America, N.A.

Rockville, MD

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-01-11
S63	Uniform Securities Agent State Law Examination	1990-05-09

S65 Uniform Investment Adviser Law Examination

1994-01-11
S63 Uniform Securities Agent State Law Examination

1990-05-09

View on SEC IAPD

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