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Benjamin Franklin Smith

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Oceanside, CA

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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 2022-05-16
TX RA APPROVED 2022-05-16
  • CA RA
    APPROVED
    Since 2022-05-16
  • TX RA
    APPROVED
    Since 2022-05-16

Branch Locations

3756 Mission Ave, Oceanside, CA 92058 • 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 San Marcos CA 05/2017 Present
U.S. Bank Carlsbad CA 01/2016 05/2017
Bank Of America N.A. Oceanside CA 02/2024 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-04-29
  • S66 Uniform Combined State Law Examination
    2022-04-29
Other Names
  • Benjamin Smith
  • Benjamin F Smith
  • Ben Smith

View on SEC IAPD

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