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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
CT RA APPROVED 2006-11-16
TX RA APPROVED_RES 2006-09-22
  • NY RA
    APPROVED
    Since 2021-04-19
  • CT RA
    APPROVED
    Since 2006-11-16
  • TX RA
    APPROVED_RES
    Since 2006-09-22

Branch Locations

360 Hamilton Ave, White Plains, NY 10601 • 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 Mount Kisco NY 03/2006 Present
Bank Of America,Na Mount Kisco NY 08/2009 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-12-29
S65 Uniform Investment Adviser Law Examination 1993-07-02
S63 Uniform Securities Agent State Law Examination 1993-05-28
  • S66 Uniform Combined State Law Examination
    2020-12-29
  • S65 Uniform Investment Adviser Law Examination
    1993-07-02
  • S63 Uniform Securities Agent State Law Examination
    1993-05-28

View on SEC IAPD

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