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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-10-27
  • CA RA
    APPROVED
    Since 2022-10-27

Branch Locations

2505-2565 W Chandler Blvd Wealth Management Client Care, Chandler, AZ 85224 • United States

1100-1800 American Blvd Wealth Management Client Care, Pennington, NJ 08534 • 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
Unemployed Waltham MA 08/2016 07/2018
Quest Capital Strategies, Inc. Lake Forest CA 08/2018 09/2019
Daniel D Murphy, Notary Public Waltham MA 07/2013 02/2022
Cambridge Investment Research Advisors, Inc. Fairfield IA 09/2021 02/2022
Cambridge Investment Research, Inc. Fairfield IA 09/2021 02/2022
Citizens Securities, Inc Westwood MA 02/2022 09/2022
Unemployed Waltham MA 09/2019 09/2021
Citizens Bank, N.A Westwood MA 02/2022 09/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporate Chandler AZ 09/2022 Present
  • 08/2016 → 07/2018
    Unemployed
    Waltham, MA
  • 08/2018 → 09/2019
    Quest Capital Strategies, Inc.
    Lake Forest, CA
  • 07/2013 → 02/2022
    Daniel D Murphy, Notary Public
    Waltham, MA
  • 09/2021 → 02/2022
    Fairfield, IA
  • 09/2021 → 02/2022
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 02/2022 → 09/2022
    Westwood, MA
  • 09/2019 → 09/2021
    Unemployed
    Waltham, MA
  • 02/2022 → 09/2022
    Citizens Bank, N.A
    Westwood, MA
  • 09/2022 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporate
    Chandler, AZ
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-06-02
S63 Uniform Securities Agent State Law Examination 1992-05-29
  • S66 Uniform Combined State Law Examination
    2010-06-02
  • S63 Uniform Securities Agent State Law Examination
    1992-05-29

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