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Cathy A Frausini

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Mystic, 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 2011-10-31
TX RA APPROVED_RES 2009-07-28
  • CT RA
    APPROVED
    Since 2011-10-31
  • TX RA
    APPROVED_RES
    Since 2009-07-28

Branch Locations

27 Coogan Blvd, Mystic, CT 06355 • 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 New London CT 02/1978 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-10-27
S63 Uniform Securities Agent State Law Examination 1992-06-08
  • S65 Uniform Investment Adviser Law Examination
    2011-10-27
  • S63 Uniform Securities Agent State Law Examination
    1992-06-08
Other Names
  • Cathy A Frausini
  • Cathy A Burr
  • Cathy A Alfiero
  • Cathy F Alfiero

View on SEC IAPD

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