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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 2017-05-12
FL RA APPROVED 2017-01-18
  • TX RA
    APPROVED
    Since 2017-05-12
  • FL RA
    APPROVED
    Since 2017-01-18

Branch Locations

19495 Biscayne Blvd, Aventura, FL 33180 • United States

Aventura, FL • 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 Aventura FL 10/2016 Present
Miami City Ballet Inc Miami Beach FL 03/2016 10/2016
Bank Of America, N.A. Aventura FL 12/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-01-13
S65 Uniform Investment Adviser Law Examination 2006-01-23
  • S66 Uniform Combined State Law Examination
    2017-01-13
  • S65 Uniform Investment Adviser Law Examination
    2006-01-23
Designations
Other Names
  • Gwenaelle Anne Romain
  • Gwenaelle A Romain

View on SEC IAPD

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