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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 2002-01-04
  • TX RA
    APPROVED
    Since 2002-01-04

Branch Locations

2100 Ross Ave, Dallas, TX 75201 • 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
OrganizationCityStateFromTo
Merrill Lynch Dallas TX 10/2001 Present
Bank Of America,Na Dallas TX 11/2009 Present
  • 10/2001 → Present
    Merrill Lynch
    Dallas, TX
  • 11/2009 → Present
    Bank Of America,Na
    Dallas, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-01-03
  • S66 Uniform Combined State Law Examination
    2002-01-03

View on SEC IAPD

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