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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
DC RA APPROVED 2023-01-27
TX RA APPROVED_RES 2023-01-24
MD RA APPROVED 2022-12-13
  • DC RA
    APPROVED
    Since 2023-01-27
  • TX RA
    APPROVED_RES
    Since 2023-01-24
  • MD RA
    APPROVED
    Since 2022-12-13

Branch Locations

3100 14Th St Nw, Washington, DC 20010 • United States

3 Dupont Cir Nw, Washington, DC 20036 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bethesda MD 03/2022 Present
Bank Of America Washington DC 04/2007 03/2022
Bank Of America, N.A. Bethesda MD 07/2022 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-12-02
  • S66 Uniform Combined State Law Examination
    2022-12-02

View on SEC IAPD

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