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Juan Carlos Riera

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New Haven, CT

Chandler, AZ

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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 2016-07-08
CT RA APPROVED 2014-09-29
  • TX RA
    APPROVED_RES
    Since 2016-07-08
  • CT RA
    APPROVED
    Since 2014-09-29

Branch Locations

157 Church St, New Haven, CT 06510 • United States

2555-2595 W Chandler Blvd Global Human Resources- The Academy, Chandler, AZ 85224 • 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 New Haven CT 10/2009 Present
Bank Of America, N.A. New Haven CT 10/2014 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-09-26
  • S66 Uniform Combined State Law Examination
    2014-09-26

View on SEC IAPD

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