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Daniel P Sexton

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Huntersville, NC

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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 2014-02-28
NC RA APPROVED 2012-08-08
  • TX RA
    APPROVED
    Since 2014-02-28
  • NC RA
    APPROVED
    Since 2012-08-08

Branch Locations

8015 W Kenton Cir, Huntersville, NC 28078 • 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 And Smith Incorporated Charlotte NC 06/2012 Present
Bank Of America, N.A. Charlotte NC 10/2012 Present
  • 06/2012 → Present
    Merrill Lynch, Pierce, Fenner And Smith Incorporated
    Charlotte, NC
  • 10/2012 → Present
    Bank Of America, N.A.
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-08-06
S63 Uniform Securities Agent State Law Examination 2010-03-30
  • S65 Uniform Investment Adviser Law Examination
    2012-08-06
  • S63 Uniform Securities Agent State Law Examination
    2010-03-30
Other Names
  • Daniel Patrick Sexton
  • Daniel Patrick Sexton

View on SEC IAPD

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