Best Investors Account Sign in

Penelope Donnelly

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Riverside, RI

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2023-06-21
TX RA APPROVED_RES 2020-10-19
RI RA APPROVED 2017-05-12
  • CT RA
    APPROVED
    Since 2023-06-21
  • TX RA
    APPROVED_RES
    Since 2020-10-19
  • RI RA
    APPROVED
    Since 2017-05-12

Branch Locations

3400 Pawtucket Ave Ci Relationship Management, Riverside, RI 02915 • 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 Lincoln RI 01/2014 Present
Bank Of America, N.A. Lincoln RI 12/2016 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-05-10
S63 Uniform Securities Agent State Law Examination 2014-04-21
  • S66 Uniform Combined State Law Examination
    2017-05-10
  • S63 Uniform Securities Agent State Law Examination
    2014-04-21
Other Names
  • P A Graves
  • Penny Graves
  • Penelope Ann Burgess
  • Penelope Graves
  • Penelope Burgess
  • Penelope Ann Donnelly

View on SEC IAPD

More in Riverside, RI

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor