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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 2014-12-03
AL RA APPROVED 2014-10-15
  • TX RA
    APPROVED
    Since 2014-12-03
  • AL RA
    APPROVED
    Since 2014-10-15

Branch Locations

4001 Carmichael Rd, Montgomery, AL 36106 • 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 Montgomery AL 06/2014 Present
Bank Of America, N.A. Montgomery AL 11/2014 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-10-14
  • S66 Uniform Combined State Law Examination
    2014-10-14
Other Names
  • Daniel Phillips

View on SEC IAPD

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