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Seth Andrew Kauffman

Merrill Lynch, Pierce, Fenner & Smith Incorporated

North Kingstown, RI

Riverside, RI

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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 2017-11-15
RI RA APPROVED 2015-09-16
  • TX RA
    APPROVED_RES
    Since 2017-11-15
  • RI RA
    APPROVED
    Since 2015-09-16

Branch Locations

North Kingstown, RI • United States

3400 Pawtucket Ave Ci Client Services, Riverside, RI 02915 • 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 & Smith Incorporated Lincoln RI 01/2010 Present
Bank Of America, N.A Lincoln RI 04/2019 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-09-15
  • S66 Uniform Combined State Law Examination
    2015-09-15

View on SEC IAPD

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