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Nicholas Ryan Frasier

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Jacksonville, FL

Riverside, RI

Warwick, RI

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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 2019-11-26
RI RA APPROVED 2017-02-06
  • TX RA
    APPROVED_RES
    Since 2019-11-26
  • RI RA
    APPROVED
    Since 2017-02-06

Branch Locations

9000 Southside Blvd Ci Relationship Management, Jacksonville, FL 32256 • United States

3400 Pawtucket Ave Ci Relationship Management, Riverside, RI 02915 • United States

Warwick, RI • 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
Bank Of America, N.A. Lincoln RI 03/2009 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lincoln RI 10/2009 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-02-03
S63 Uniform Securities Agent State Law Examination 2006-03-10
  • S66 Uniform Combined State Law Examination
    2017-02-03
  • S63 Uniform Securities Agent State Law Examination
    2006-03-10

View on SEC IAPD

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