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Alexander Mark Duddy

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Monterey, CA

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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 2017-08-14
CA RA APPROVED 2017-01-12
  • TX RA
    APPROVED
    Since 2017-08-14
  • CA RA
    APPROVED
    Since 2017-01-12

Branch Locations

200 E Franklin St, Monterey, CA 93940 • 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 Sherman Oaks CA 11/2011 09/2016
J.P. Morgan Securities Llc Sherman Oaks CA 10/2012 09/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated Carmel CA 10/2016 Present
Bank Of America, N.A. Carmel CA 12/2016 Present
  • 11/2011 → 09/2016
    Jpmorgan Chase Bank
    Sherman Oaks, CA
  • 10/2012 → 09/2016
    J.P. Morgan Securities Llc
    Sherman Oaks, CA
  • 10/2016 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Carmel, CA
  • 12/2016 → Present
    Bank Of America, N.A.
    Carmel, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-01-11
S63 Uniform Securities Agent State Law Examination 2011-02-21
S65 Uniform Investment Adviser Law Examination 2010-06-09
  • S66 Uniform Combined State Law Examination
    2017-01-11
  • S63 Uniform Securities Agent State Law Examination
    2011-02-21
  • S65 Uniform Investment Adviser Law Examination
    2010-06-09
Other Names
  • Duddy Mark Alexander

View on SEC IAPD

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