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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 2026-04-06
NY RA APPROVED 2021-04-19
TX RA APPROVED_RES 2012-11-19
  • CT RA
    APPROVED
    Since 2026-04-06
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2012-11-19

Branch Locations

2 Pickwick Plz, Greenwich, CT 06830 • 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 Fort Lee NJ 07/2005 Present
Bank Of America,N.A. Fort Lee NJ 06/2011 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-03-13
  • S66 Uniform Combined State Law Examination
    2006-03-13

View on SEC IAPD

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