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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2022-08-05
TX RA APPROVED_RES 1996-08-19
CT RA APPROVED 1994-02-25
  • AL RA
    APPROVED
    Since 2022-08-05
  • TX RA
    APPROVED_RES
    Since 1996-08-19
  • CT RA
    APPROVED
    Since 1994-02-25

Branch Locations

1499 Post Rd, Fairfield, CT 06824 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Fairfield CT 08/1989 Present
Bank Of America, N.A. Fairfield CT 06/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-09-24
S63 Uniform Securities Agent State Law Examination 1990-05-09
  • S65 Uniform Investment Adviser Law Examination
    2007-09-24
  • S63 Uniform Securities Agent State Law Examination
    1990-05-09

View on SEC IAPD

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