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Claudine Marie Zigmund

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hartford, CT

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2012-12-13
TX RA APPROVED 2012-12-13
  • CT RA
    APPROVED
    Since 2012-12-13
  • TX RA
    APPROVED
    Since 2012-12-13

Branch Locations

185 Asylum St City Place Ii, 14Th Fl, Hartford, CT 06103 • 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 Hartford CT 04/1991 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-12-12
S63 Uniform Securities Agent State Law Examination 1996-08-21
  • S65 Uniform Investment Adviser Law Examination
    2012-12-12
  • S63 Uniform Securities Agent State Law Examination
    1996-08-21
Other Names
  • Claudine Marie Tecklenburg

View on SEC IAPD

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