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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
TX RA APPROVED_RES 2009-05-26
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2009-05-26

Branch Locations

805 Northern Blvd, Great Neck, NY 11021 • United States

North Bellmore, NY • 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 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 New York NY 04/2009 Present
Bank Of America, N.A. Great Neck NY 05/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-02-05
S63 Uniform Securities Agent State Law Examination 1994-02-28
  • S65 Uniform Investment Adviser Law Examination
    1999-02-05
  • S63 Uniform Securities Agent State Law Examination
    1994-02-28
Other Names
  • Mandy Rofe
  • Mandy J Wolk
  • Mandy Judith Rofe
  • Mandy Judith Wolk

View on SEC IAPD

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