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Adam Band

Merrill Lynch, Pierce, Fenner & Smith Incorporated

North Bethesda, MD

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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 2012-05-18
MD RA APPROVED 2010-08-20
  • TX RA
    APPROVED_RES
    Since 2012-05-18
  • MD RA
    APPROVED
    Since 2010-08-20

Branch Locations

11810 Grand Park Ave, North Bethesda, MD 20852 • 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 North Bethesda MD 08/2010 Present
Bank Of America Na North Bethesda MD 02/2011 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-06-25
S63 Uniform Securities Agent State Law Examination 2009-06-17
  • S65 Uniform Investment Adviser Law Examination
    2009-06-25
  • S63 Uniform Securities Agent State Law Examination
    2009-06-17

View on SEC IAPD

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