Nicholas Alan Hopley

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-10-23
CT	RA	APPROVED	2009-10-23

TX RA
APPROVED_RES

Since 2020-10-23
CT RA
APPROVED

Since 2009-10-23

Branch Locations

1414 Main St, Springfield, MA 01144 • United States

Amherst, MA • 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	Springfield	MA	10/2009	Present
Bank Of America,Na	Springfield	MA	10/2009	Present

10/2009 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Springfield, MA
10/2009 → Present

Bank Of America,Na

Springfield, MA

Previous Registrations

2009-04-06 → 2009-10-23

Banc Of America Investment Services, Inc.

Easthampton, MA

Amherst, MA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2009-03-27
S63	Uniform Securities Agent State Law Examination	1994-09-20

S65 Uniform Investment Adviser Law Examination

2009-03-27
S63 Uniform Securities Agent State Law Examination

1994-09-20

Other Names

Nick Alan Hopley

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews