Colleen B Shepard

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	2000-01-05
DC	RA	APPROVED	1994-06-04

TX RA
APPROVED_RES

Since 2000-01-05
DC RA
APPROVED

Since 1994-06-04

Branch Locations

1800 K St Nw, Washington, DC 20006 • United States

Washington, DC • 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	Washinton	DC	08/1990	Present
Bank Of America, Na	Washington	DC	12/2009	Present

08/1990 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Washinton, DC
12/2009 → Present

Bank Of America, Na

Washington, DC

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1990-11-30
S63	Uniform Securities Agent State Law Examination	1990-10-26

S65 Uniform Investment Adviser Law Examination

1990-11-30
S63 Uniform Securities Agent State Law Examination

1990-10-26

Other Names

Colleen B Tansey

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

Other Offices

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