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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-06-28
TX RA APPROVED_RES 2022-06-15
  • FL RA
    APPROVED
    Since 2022-06-28
  • TX RA
    APPROVED_RES
    Since 2022-06-15

Branch Locations

Key Biscayne, FL • United States

701 Brickell Ave, Miami, FL 33131 • 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
Jpmorgan Chase Bank Miami FL 12/2008 05/2022
J.P. Morgan Securities Llc Miami FL 08/2013 05/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Miami FL 05/2022 Present
Bank Of America, N.A. Miami FL 07/2022 Present
Jpmorgan Chase Bank Miami FL 02/2017 05/2022
  • 12/2008 → 05/2022
    Jpmorgan Chase Bank
    Miami, FL
  • 08/2013 → 05/2022
    J.P. Morgan Securities Llc
    Miami, FL
  • 05/2022 → Present
    Miami, FL
  • 07/2022 → Present
    Bank Of America, N.A.
    Miami, FL
  • 02/2017 → 05/2022
    Jpmorgan Chase Bank
    Miami, FL
Other Businesses

I*842312 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: Miami, Florida, 33129 Nature of business: Position, title, association: Sole owner, Start date of relationship: 2/15/2022 Number of hours devoted: 0 hour(s) Yearly Number of hours devoted during trading hours: 0 I*842313 For profit or not for profit: Name of outside business organization: Rental Property 2 Investment related: N Address of business: Miami, fl, 33131 Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 6/1/2021 Number of hours devoted: 0 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: ,

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-06-24
S63 Uniform Securities Agent State Law Examination 2009-07-06
  • S66 Uniform Combined State Law Examination
    2022-06-24
  • S63 Uniform Securities Agent State Law Examination
    2009-07-06
Other Names
  • Maria T Plaza
  • Maria T Plaza Giler
  • Maria Teresa Plaza

View on SEC IAPD

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