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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2020-03-17
TX RA APPROVED_RES 2017-01-05
NJ RA APPROVED 2004-04-15
  • CO RA
    APPROVED
    Since 2020-03-17
  • TX RA
    APPROVED_RES
    Since 2017-01-05
  • NJ RA
    APPROVED
    Since 2004-04-15

Branch Locations

6400 S Fiddlers Green Cir, Greenwood Village, CO 80111 • United States

100 Somerset Corporate Blvd, Bridgewater, NJ 08807 • United States

Littleton, CO • United States

Disclosures

2 disclosure categories 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 Yes
  • 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 Bridgewater Township NJ 07/1996 Present
Bank Of America,Na Bridewater NJ 08/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-07-02
S63 Uniform Securities Agent State Law Examination 1993-06-25
  • S65 Uniform Investment Adviser Law Examination
    1993-07-02
  • S63 Uniform Securities Agent State Law Examination
    1993-06-25
Other Names
  • Jim Mccabe

View on SEC IAPD

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