Regina L Wortham

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	1995-02-27

TX RA
APPROVED

Since 1995-02-27

Branch Locations

2100 Ross Ave, Dallas, TX 75201 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Dallas	TX	07/1983	Present

07/1983 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Dallas, TX

Other Businesses

I*26938 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: MEDIA DEFINED INC INVESTMENT RELATED: N ADDRESS OF BUSINESS: DALLAS, TEXAS 75226 NATURE OF BUSINESS: S-CORP, POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 5/1/2003 NUMBER OF HOURS DEVOTED: 20 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 10 DUTIES: PREPARE MONTHLY A/P FOR SIGNATURE AND APPROVAL BY PRESIDENT OFFICE ASSISTANT

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-03-20
S63	Uniform Securities Agent State Law Examination	1995-02-24

S65 Uniform Investment Adviser Law Examination

1995-03-20
S63 Uniform Securities Agent State Law Examination

1995-02-24

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

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