Raphael Derek Hochberg

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-01-05
NJ	RA	APPROVED	2022-12-09

TX RA
APPROVED_RES

Since 2023-01-05
NJ RA
APPROVED

Since 2022-12-09

Branch Locations

401 N Tryon St Ci Relationship Management, Charlotte, NC 28255 • United States

Livingston, NJ • United States

1100-1800 American Blvd Ci Relationship Management, Pennington, NJ 08534 • United States

Disclosures

1 disclosure category 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 No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
The Vertical Group	New York	NY	12/2012	02/2017
Maxim Group Llc	New York	NY	03/2017	04/2021
Icap Corporates Llc	Edison	NJ	11/2021	Present
Unemployed	Livingston	NJ	04/2021	11/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Pennington	NJ	09/2022	Present
Bank Of America, N.A.	Pennington	NJ	12/2022	Present

12/2012 → 02/2017

The Vertical Group

New York, NY
03/2017 → 04/2021

Maxim Group Llc

New York, NY
11/2021 → Present

Icap Corporates Llc

Edison, NJ
04/2021 → 11/2021

Unemployed

Livingston, NJ
09/2022 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ
12/2022 → Present

Bank Of America, N.A.

Pennington, NJ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-12-08
S63	Uniform Securities Agent State Law Examination	1993-09-22

S66 Uniform Combined State Law Examination

2022-12-08
S63 Uniform Securities Agent State Law Examination

1993-09-22

Other Names

R Derek Hochberg
Derek Hochberg
Raphael D. Hochberg