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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_RES 2020-12-16
CA RA APPROVED 2016-04-20
  • TX RA
    APPROVED_RES
    Since 2020-12-16
  • CA RA
    APPROVED
    Since 2016-04-20

Branch Locations

1114 Ave Of The Americas, New York, NY 10036 • United States

2555-2595 W Chandler Blvd Ci Client Services, Chandler, AZ 85224 • United States

Tempe, AZ • 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 Chandler AZ 06/2014 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-04-19
S63 Uniform Securities Agent State Law Examination 2014-09-05
  • S66 Uniform Combined State Law Examination
    2016-04-19
  • S63 Uniform Securities Agent State Law Examination
    2014-09-05
Other Names
  • Morgan John Holleran

View on SEC IAPD

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