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David Arthur Sorensen

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Riverside, RI

New York, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2019-05-16
TX RA APPROVED_RES 2017-06-20
  • RI RA
    APPROVED
    Since 2019-05-16
  • TX RA
    APPROVED_RES
    Since 2017-06-20

Branch Locations

3400 Pawtucket Ave, Riverside, RI 02915 • United States

One Bryant Park, New York, NY 10036 • 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 Yes
  • 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. Waltham MA 04/2008 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Waltham MA 10/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-05-02
S63 Uniform Securities Agent State Law Examination 1990-12-21
  • S65 Uniform Investment Adviser Law Examination
    2019-05-02
  • S63 Uniform Securities Agent State Law Examination
    1990-12-21

View on SEC IAPD

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