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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 2025-04-09
NJ RA APPROVED 2025-04-07
  • TX RA
    APPROVED
    Since 2025-04-09
  • NJ RA
    APPROVED
    Since 2025-04-07

Branch Locations

701 Broadway, Bayonne, NJ 07002 • 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
Morgan Stanley New York NY 02/2022 04/2024
Td Bank Hoboken NJ 01/2019 02/2022
Debtor Cc Jersey City NJ 01/2018 01/2019
Rutgers University New Brunswick NJ 01/2017 12/2018
Rutgers University New Brunswick NJ 03/2015 12/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bayonne NJ 01/2025 Present
Unemployed Bayonne NJ 04/2024 12/2024
Bank Of America, N.A. Bayonne NJ 03/2025 Present
  • 02/2022 → 04/2024
    Morgan Stanley
    New York, NY
  • 01/2019 → 02/2022
    Td Bank
    Hoboken, NJ
  • 01/2018 → 01/2019
    Debtor Cc
    Jersey City, NJ
  • 01/2017 → 12/2018
    Rutgers University
    New Brunswick, NJ
  • 03/2015 → 12/2018
    Rutgers University
    New Brunswick, NJ
  • 01/2025 → Present
    Bayonne, NJ
  • 04/2024 → 12/2024
    Unemployed
    Bayonne, NJ
  • 03/2025 → Present
    Bank Of America, N.A.
    Bayonne, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-04-04
S63 Uniform Securities Agent State Law Examination 2022-03-19
  • S66 Uniform Combined State Law Examination
    2025-04-04
  • S63 Uniform Securities Agent State Law Examination
    2022-03-19
Other Names
  • Frank A Maltez-Barahona

View on SEC IAPD

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