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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2015-12-22
TX RA APPROVED_RES 1996-08-01
  • LA RA
    APPROVED
    Since 2015-12-22
  • TX RA
    APPROVED_RES
    Since 1996-08-01

Branch Locations

900 S College Rd, Lafayette, LA 70503 • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lafayette LA 08/1995 Present
Bank Of America,Na Lafayette LA 11/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-10-03
S63 Uniform Securities Agent State Law Examination 1995-07-28
  • S65 Uniform Investment Adviser Law Examination
    1995-10-03
  • S63 Uniform Securities Agent State Law Examination
    1995-07-28

View on SEC IAPD

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