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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-12-07
NJ RA APPROVED 2015-10-02
TX RA APPROVED 2015-10-01
  • CA RA
    APPROVED
    Since 2018-12-07
  • NJ RA
    APPROVED
    Since 2015-10-02
  • TX RA
    APPROVED
    Since 2015-10-01

Branch Locations

Chandler, AZ • United States

10400 Ne 4Th St Moutain Pacific, Bellevue, WA 98004 • United States

14636 N Scottsdale Rd, Scottsdale, AZ 85254 • 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 Pennington NJ 05/2014 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-09-25
  • S66 Uniform Combined State Law Examination
    2015-09-25

View on SEC IAPD

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