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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2011-12-01
NJ RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2011-12-01
  • NJ RA
    APPROVED
    Since 2009-10-23

Branch Locations

7 Roszel Rd, Princeton, NJ 08540 • 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 Princeton Junction NJ 10/2009 Present
Bank Of America, N.A. Princeton NJ 05/2011 Present
Previous Registrations
  • 2004-10-20 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Summit, NJ
    Princeton, NJ
    Princeton Junction, NJ
    Princeton Junction, NJ
  • 2002-11-21 → 2004-10-20
    Quick & Reilly, Inc.
    Junction, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-06-10
S63 Uniform Securities Agent State Law Examination 1995-01-30
  • S65 Uniform Investment Adviser Law Examination
    1998-06-10
  • S63 Uniform Securities Agent State Law Examination
    1995-01-30

View on SEC IAPD

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