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Sonat Topuzoglu

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ

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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_RES 2019-09-09
NJ RA APPROVED 2019-07-22
  • TX RA
    APPROVED_RES
    Since 2019-09-09
  • NJ RA
    APPROVED
    Since 2019-07-22

Branch Locations

1100-1800 American Blvd Retirement & Personal Wealth Solutions, Pennington, NJ 08534 • United States

Disclosures

2 disclosure categories 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pennington NJ 07/2017 Present
Broadridge Financial Solutions Jersey City NJ 11/2016 06/2017
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-06-21
  • S66 Uniform Combined State Law Examination
    2019-06-21
Other Names
  • Scnat Topuzoglu

View on SEC IAPD

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