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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 2006-08-11
NJ RA APPROVED 2006-08-04
  • TX RA
    APPROVED_RES
    Since 2006-08-11
  • NJ RA
    APPROVED
    Since 2006-08-04

Branch Locations

51 John F Kennedy Pkwy, Short Hills, NJ 07078 • 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 Short Hills NJ 07/2006 Present
Bank Of America,Na Short Hills NJ 12/2009 Present
Previous Registrations
  • 2002-05-20 → 2006-08-10
    J. B. Hanauer & Co.
    Parsippany, NJ
    Parsippany, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-05-08
S63 Uniform Securities Agent State Law Examination 1995-09-14
  • S65 Uniform Investment Adviser Law Examination
    2002-05-08
  • S63 Uniform Securities Agent State Law Examination
    1995-09-14

View on SEC IAPD

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