Best Investors Account Sign in

Andrew D Harris

Merrill Lynch, Pierce, Fenner & Smith Incorporated

North Providence, RI

Pennington, NJ

Riverside, RI

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-07-27
RI RA APPROVED 2014-09-17
  • TX RA
    APPROVED_RES
    Since 2022-07-27
  • RI RA
    APPROVED
    Since 2014-09-17

Branch Locations

North Providence, RI • United States

1100-1800 American Blvd Ci Client Management, Pennington, NJ 08534 • United States

3400 Pawtucket Ave Ci Client Management, 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 01/2007 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-09-16
S63 Uniform Securities Agent State Law Examination 2014-05-10
  • S65 Uniform Investment Adviser Law Examination
    2014-09-16
  • S63 Uniform Securities Agent State Law Examination
    2014-05-10

View on SEC IAPD

More in North Providence, RI

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor