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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 1998-03-17
TX RA APPROVED_RES 1996-01-09
DC RA APPROVED 1994-09-30
VA RA APPROVED 1992-03-26
  • MD RA
    APPROVED
    Since 1998-03-17
  • TX RA
    APPROVED_RES
    Since 1996-01-09
  • DC RA
    APPROVED
    Since 1994-09-30
  • VA RA
    APPROVED
    Since 1992-03-26

Branch Locations

11951 Freedom Dr, Reston, VA 20190 • United States

Great Falls, VA • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Vienna VA 02/1991 Present
#Ia Merrill Lynch, Pierce, Fenner & Smit Vienna VA 02/1991 Present
Bank Of America, N.A. Reston VA 07/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-03-16
S63 Uniform Securities Agent State Law Examination 1991-06-07
  • S65 Uniform Investment Adviser Law Examination
    1992-03-16
  • S63 Uniform Securities Agent State Law Examination
    1991-06-07

View on SEC IAPD

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