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Michael James Dolan

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Poughkeepsie, NY

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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
FL RA APPROVED 2016-03-22
TX RA APPROVED_RES 1999-01-28
  • NY RA
    APPROVED
    Since 2021-04-19
  • FL RA
    APPROVED
    Since 2016-03-22
  • TX RA
    APPROVED_RES
    Since 1999-01-28

Branch Locations

2649 South Rd, Poughkeepsie, NY 12601 • 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 Poughkeepsie NY 09/1997 Present
Bank Of America, N.A. Poughkeepsie NY 11/2009 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-04-26
S65 Uniform Investment Adviser Law Examination 1994-04-26
  • S63 Uniform Securities Agent State Law Examination
    1994-04-26
  • S65 Uniform Investment Adviser Law Examination
    1994-04-26
Other Names
  • Mike Dolan

View on SEC IAPD

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Other Offices

ARAX ADVISORY PARTNERS · Poughkeepsie, NY
CHARLES SCHWAB & CO., INC. · Poughkeepsie, NY
LPL FINANCIAL LLC · POUGHKEEPSIE, NY
MORGAN STANLEY · POUGHKEEPSIE, NY
CETERA INVESTMENT ADVISERS LLC · POUGHKEEPSIE, NY
STIFEL, NICOLAUS & COMPANY, INCORPORATED · POUGHKEEPSIE, NY
NEWEDGE ADVISORS · Poughkeepsie, NY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · POUGHKEEPSIE, NY

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