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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 2016-07-28
NJ RA APPROVED 2015-05-15
  • TX RA
    APPROVED_RES
    Since 2016-07-28
  • NJ RA
    APPROVED
    Since 2015-05-15

Branch Locations

221 New Jersey Ave, Abescon, NJ 08201 • 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. Absecon NJ 04/2015 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Absecon NJ 04/2015 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-04-07
S63 Uniform Securities Agent State Law Examination 2011-03-10
  • S66 Uniform Combined State Law Examination
    2011-04-07
  • S63 Uniform Securities Agent State Law Examination
    2011-03-10

View on SEC IAPD

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