Michael A Goldstein

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2021-12-06
NJ	RA	APPROVED	2021-03-29
TX	RA	APPROVED_RES	2014-09-23
PA	RA	APPROVED	2010-06-17

FL RA
APPROVED

Since 2021-12-06
NJ RA
APPROVED

Since 2021-03-29
TX RA
APPROVED_RES

Since 2014-09-23
PA RA
APPROVED

Since 2010-06-17

Branch Locations

470 Norristown Rd, Blue Bell, PA 19422 • United States

Sea Isle City, NJ • United States

Naples, FL • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Elkins Park	PA	03/1999	Present
Bank Of America,N.A.	Blue Bell	PA	06/2011	Present

03/1999 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Elkins Park, PA
06/2011 → Present

Bank Of America,N.A.

Blue Bell, PA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-04-15
S63	Uniform Securities Agent State Law Examination	1996-10-11

S65 Uniform Investment Adviser Law Examination

1999-04-15
S63 Uniform Securities Agent State Law Examination

1996-10-11

Other Names

Michael Alan Goldstein

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

Other Offices

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