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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
TX RA APPROVED_RES 2011-07-19
FL RA APPROVED 2011-07-18
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2011-07-19
  • FL RA
    APPROVED
    Since 2011-07-18

Branch Locations

249 Royal Palm Way, Palm Beach, FL 33480 • 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 Palm Beach FL 07/2011 Present
Bank Of America, N.A. Palm Beach FL 10/2011 Present
Previous Registrations
  • 2006-09-12 → 2011-07-27
    Palm Beach Gardens, FL
    Palm Beach Gdns, FL
    Weehawken, NJ
    New York, NY
    New York, NY
  • 2003-01-17 → 2004-03-23
    Credit Suisse Securities (Usa) Llc
    New York, NY
  • 2002-07-25 → 2003-01-17
    Pershing Llc
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-02-18
S63 Uniform Securities Agent State Law Examination 1992-04-06
  • S65 Uniform Investment Adviser Law Examination
    2000-02-18
  • S63 Uniform Securities Agent State Law Examination
    1992-04-06
Other Names
  • Jack Burns

View on SEC IAPD

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