John Mawson

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2023-05-25
TX	RA	APPROVED_RES	2013-01-10
PA	RA	APPROVED	2010-06-18

FL RA
APPROVED

Since 2023-05-25
TX RA
APPROVED_RES

Since 2013-01-10
PA RA
APPROVED

Since 2010-06-18

Branch Locations

101 West Ave, Jenkintown, PA 19046 • United States

Naples, FL • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Jenkintown	PA	05/1994	Present
Bank Of America, Na	Elkins Park	PA	04/2010	Present

05/1994 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Jenkintown, PA
04/2010 → Present

Bank Of America, Na

Elkins Park, PA

Other Businesses

I*2286258, Entity Type: , Name of OBA: T B. M, Address: AMBLER, Pennsylvania, 19002, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 25-Sep-2014, No Hours: 1 Weekly, No Hours during Trading: 1 Weekly, Duties:

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-08-04
S63	Uniform Securities Agent State Law Examination	1994-07-22

S65 Uniform Investment Adviser Law Examination

1994-08-04
S63 Uniform Securities Agent State Law Examination

1994-07-22

Other Names

John (Iii) Mawson

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews