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Michael Garrison Wares

Merrill Lynch, Pierce, Fenner & Smith Incorporated

White Plains, NY

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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
TX RA APPROVED 2018-05-08
CT RA APPROVED 2016-12-01
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED
    Since 2018-05-08
  • CT RA
    APPROVED
    Since 2016-12-01

Branch Locations

360 Hamilton Ave, White Plains, NY 10601 • 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
New York Life Insurance Company/Nylife Securities Llc White Plains NY 07/2013 10/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated White Plains NY 10/2016 Present
Bank Of America, N.A. White Plains NY 01/2017 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-11-30
S63 Uniform Securities Agent State Law Examination 2014-05-22
  • S66 Uniform Combined State Law Examination
    2016-11-30
  • S63 Uniform Securities Agent State Law Examination
    2014-05-22
Other Names
  • Michael Garrison Wares
  • Michael Wares

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · WHITE PLAINS, NY
CETERA INVESTMENT ADVISERS LLC · WHITE PLAINS, NY
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BENJAMIN F. EDWARDS & COMPANY, INC. · WHITE PLAINS, NY
J.P. MORGAN SECURITIES LLC · West Harrison, NY
FOREPONT CAPITAL LLC · WHITE PLAINS, NY
COMMONWEALTH FINANCIAL NETWORK · West Harrison, NY
KINGSWOOD WEALTH ADVISORS, LLC · White Plains, NY

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