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Farrel Peck Simpson

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Providence, 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
RI RA APPROVED 2022-02-10
CT RA APPROVED 2017-10-19
  • RI RA
    APPROVED
    Since 2022-02-10
  • CT RA
    APPROVED
    Since 2017-10-19

Branch Locations

1 Financial Plz, Providence, RI 02903 • 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
Ubs Financial Services Inc. Boston MA 04/2016 09/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Boston MA 09/2017 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-06-20
  • S66 Uniform Combined State Law Examination
    2014-06-20
Other Names
  • Farrel Peck Simpson
  • Farrel Simpson

View on SEC IAPD

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