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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_RES 2017-05-19
WA RA APPROVED 2009-09-18
  • TX RA
    APPROVED_RES
    Since 2017-05-19
  • WA RA
    APPROVED
    Since 2009-09-18

Branch Locations

10400 Ne 4Th St, Bellevue, WA 98004 • 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
Bank Of America, N.A. Bellevue WA 10/2010 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bellevue WA 09/2009 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-09-26
  • S66 Uniform Combined State Law Examination
    2005-09-26

View on SEC IAPD

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