Rachel A Roberts

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-19
TX	RA	APPROVED	2013-03-18
CT	RA	APPROVED	2011-11-14

NY RA
APPROVED

Since 2021-04-19
TX RA
APPROVED

Since 2013-03-18
CT RA
APPROVED

Since 2011-11-14

Branch Locations

New York, NY • United States

225 Liberty St Pbig - New York, New York, NY 10281 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	New York	NY	08/2009	Present
Bank Of America, N.A.	New York	NY	04/2015	Present

08/2009 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY
04/2015 → Present

Bank Of America, N.A.

New York, NY

Other Businesses

I*2257279, Entity Type: , Name of OBA: R and K G, Address: North Caldwell, New Jersey, 07006, Investment Related: N, Position, Title, Association: Successor Trustee, Employee State Date: 28-Mar-2025, No Hours: 5 Yearly, No Hours during Trading: 0 Yearly, Duties: I*3392266Entity Type: N/AName of OBA: Guido Family TrustAddress: Caldwell, New JerseyInvestment Related: NoPosition, Title, Association: Successor TrusteeEmployee Start Date: 01/01/2026Number of Hours: 5, YearlyNumber of Hours during trading: 0, YearlyDuties: colleague and friends I*5129267, Entity Type: , Name of OBA: J E Family Trust, Address: NY, New York, 10024, Investment Related: N, Position, Title, Association: Trustee, Employee Start Date: 07/29/2026, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-11-11

S66 Uniform Combined State Law Examination

2011-11-11

Other Names

Rachel Allison Roberts

View on SEC IAPD