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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
NJ RA APPROVED 2009-10-23
  • NY RA
    APPROVED
    Since 2021-04-19
  • NJ RA
    APPROVED
    Since 2009-10-23

Branch Locations

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

300 Broadhollow Rd, Melville, NY 11747 • 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
Bank Of America N.A New York NY 07/2007 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 10/2009 Present
Previous Registrations
  • 2009-03-12 → 2009-10-23
    Banc Of America Investment Services, Inc.
    New York, NY
Other Businesses

I*4832286, Entity Type: , Name of OBA: D R C, Address: Port Washington, New York, 11050, Investment Related: N, Position, Title, Association: Conservator, Employee Start Date: 12/17/2024, No Hours: 12 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-03-08
S63 Uniform Securities Agent State Law Examination 1999-01-26
  • S66 Uniform Combined State Law Examination
    2009-03-08
  • S63 Uniform Securities Agent State Law Examination
    1999-01-26

View on SEC IAPD

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