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Geoffrey Albert Stubbs

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Florham Park, NJ

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2007-09-11
CT RA APPROVED 2007-03-21
TX RA APPROVED_RES 1995-07-11
  • NJ RA
    APPROVED
    Since 2007-09-11
  • CT RA
    APPROVED
    Since 2007-03-21
  • TX RA
    APPROVED_RES
    Since 1995-07-11

Branch Locations

100 Campus Dr, Florham Park, NJ 07932 • 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, Pierce, Fenner & Smith Incorporated Morristown NJ 06/1991 Present
Bank Of America,Na Florham NJ 11/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-09-05
S63 Uniform Securities Agent State Law Examination 1991-07-17
  • S65 Uniform Investment Adviser Law Examination
    2007-09-05
  • S63 Uniform Securities Agent State Law Examination
    1991-07-17

View on SEC IAPD

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