Best Investors Account Sign in
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-10-28
MI RA APPROVED 2010-10-26
TX RA APPROVED_RES 2009-07-20
  • FL RA
    APPROVED
    Since 2025-10-28
  • MI RA
    APPROVED
    Since 2010-10-26
  • TX RA
    APPROVED_RES
    Since 2009-07-20

Branch Locations

Naples, FL • United States

39577 Woodward Ave, Bloomfield Hills, MI 48304 • 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 Bloomfield Hills MI 06/2009 Present
Bank Of America, N.A. Bloomfield Hills MI 12/2009 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-10-19
S65 Uniform Investment Adviser Law Examination 1995-09-26
S63 Uniform Securities Agent State Law Examination 1995-09-12
  • S66 Uniform Combined State Law Examination
    2010-10-19
  • S65 Uniform Investment Adviser Law Examination
    1995-09-26
  • S63 Uniform Securities Agent State Law Examination
    1995-09-12

View on SEC IAPD

More in Naples, FL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor