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Beth Ann Theis

Merrill Lynch, Pierce, Fenner & Smith Incorporated

East Brunswick, NJ

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
NJ RA APPROVED 2023-03-21
TX RA APPROVED 2015-05-18
IL RA APPROVED 2015-04-13
  • NJ RA
    APPROVED
    Since 2023-03-21
  • TX RA
    APPROVED
    Since 2015-05-18
  • IL RA
    APPROVED
    Since 2015-04-13

Branch Locations

639 Rte 18, East Brunswick, NJ 08816 • United States

360 Hamilton Ave Global Human Resources- The Academy, 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
Jp Morgan Securties Llc Chicago IL 09/2013 Present
Jp Morgan Chase Bank Chicago IL 01/2012 Present
Merrill Lynch Northbrook IL 10/2014 Present
  • 09/2013 → Present
    Jp Morgan Securties Llc
    Chicago, IL
  • 01/2012 → Present
    Jp Morgan Chase Bank
    Chicago, IL
  • 10/2014 → Present
    Merrill Lynch
    Northbrook, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-04-10
S63 Uniform Securities Agent State Law Examination 2013-11-07
  • S65 Uniform Investment Adviser Law Examination
    2015-04-10
  • S63 Uniform Securities Agent State Law Examination
    2013-11-07

View on SEC IAPD

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William Stephen Battistelli
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Alice M Lee
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Other Offices

WELLS FARGO CLEARING SERVICES, LLC · EAST BRUNSWICK, NJ
SANTANDER SECURITIES LLC · East Brunswick, NJ
WORLD INVESTMENT ADVISORS, LLC · EAST BRUNSWICK, NJ
WORLD INVESTMENT ADVISORS, LLC · EAST BRUNSWICK, NJ
NISONOFF & QUADREL INVESTMENT MANAGEMENT LLC · EAST BRUNSWICK, NJ
CETERA INVESTMENT ADVISERS LLC · MILLTOWN, NJ
J.P. MORGAN SECURITIES LLC · EAST BRUNSWICK, NJ
AMERIPRISE FINANCIAL SERVICES, LLC · Milltown, NJ

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