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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2024-02-12
FL RA APPROVED 2024-02-08
LA RA APPROVED 2019-03-26
TX RA APPROVED_RES 2013-01-23
GA RA APPROVED 2004-08-25
  • AL RA
    APPROVED
    Since 2024-02-12
  • FL RA
    APPROVED
    Since 2024-02-08
  • LA RA
    APPROVED
    Since 2019-03-26
  • TX RA
    APPROVED_RES
    Since 2013-01-23
  • GA RA
    APPROVED
    Since 2004-08-25

Branch Locations

1022 W 23Rd St, Panama City, FL 32405 • United States

3455 Peachtree Rd Ne Division - Southeast, Atlanta, GA 30326 • United States

3674 Dauphin St, Mobile, AL 36608 • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Atlanta GA 11/1982 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-08-24
  • S66 Uniform Combined State Law Examination
    2004-08-24

View on SEC IAPD

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