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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 2009-10-23
  • TX RA
    APPROVED
    Since 2009-10-23

Branch Locations

100 Federal St, Boston, MA 02110 • United States

901 Main St, Dallas, TX 75202 • 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 Dallas TX 10/2009 Present
Previous Registrations
  • 2007-11-08 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Dallas, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-11-09
  • S66 Uniform Combined State Law Examination
    2005-11-09

View on SEC IAPD

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