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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2017-07-24
TX RA APPROVED_RES 2017-07-21
  • NJ RA
    APPROVED
    Since 2017-07-24
  • TX RA
    APPROVED_RES
    Since 2017-07-21

Branch Locations

1 Deforest Ave, Summit, NJ 07901 • 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
Morgan Stanley Short Hills NJ 05/2008 07/2017
Morgan Stanley Private Bank, National Association New York NY 01/2015 07/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Short Hills NJ 07/2017 Present
Bank Of America, N.A. Short Hills NJ 08/2017 Present
Previous Registrations
  • 2009-06-01 → 2017-07-20
    Short Hills, NJ
  • 2008-06-12 → 2009-06-01
    Morgan Stanley & Co. Llc
    Short Hills, NJ
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-01-21
  • S63 Uniform Securities Agent State Law Examination
    1994-01-21
Other Names
  • Keith Simons
  • Keith Erik Simons

View on SEC IAPD

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