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Anthony John Harnett

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Brea, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 1997-07-08
TX RA APPROVED_RES 1994-08-24
  • CA RA
    APPROVED
    Since 1997-07-08
  • TX RA
    APPROVED_RES
    Since 1994-08-24

Branch Locations

145 S State College Blvd, Brea, CA 92821 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated La Mirada CA 08/1991 Present
Bank Of America,N.A. Brea CA 06/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-03-23
S63 Uniform Securities Agent State Law Examination 1991-10-23
  • S65 Uniform Investment Adviser Law Examination
    1995-03-23
  • S63 Uniform Securities Agent State Law Examination
    1991-10-23

View on SEC IAPD

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