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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2018-03-05
TX RA APPROVED 2016-06-14
RI RA APPROVED 2015-12-21
  • CT RA
    APPROVED
    Since 2018-03-05
  • TX RA
    APPROVED
    Since 2016-06-14
  • RI RA
    APPROVED
    Since 2015-12-21

Branch Locations

45 William St, Wellesley Hills, MA 02481 • United States

300 Broadhollow Rd, Melville, NY 11747 • United States

1 Financial Plaza, Providence, RI 02903 • United States

Dedham, MA • 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 06/2014 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-12-18
  • S66 Uniform Combined State Law Examination
    2015-12-18

View on SEC IAPD

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