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Rocco G Mercatante

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Red Bank, NJ

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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 2016-07-26
NJ RA APPROVED 2012-01-20
CT RA APPROVED 2012-01-18
  • TX RA
    APPROVED_RES
    Since 2016-07-26
  • NJ RA
    APPROVED
    Since 2012-01-20
  • CT RA
    APPROVED
    Since 2012-01-18

Branch Locations

170 Broad St, Red Bank, NJ 07701 • 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 Aberdeen NJ 01/2012 Present
Bank Of America, N.A. Aberdeen NJ 02/2012 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-11-03
S63 Uniform Securities Agent State Law Examination 2010-09-30
  • S65 Uniform Investment Adviser Law Examination
    2010-11-03
  • S63 Uniform Securities Agent State Law Examination
    2010-09-30
Other Names
  • Rocky Mercatante
  • Rocco Giuseppe Mercatante

View on SEC IAPD

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