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Mallhar Gupta

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2026-08-06
TX RA APPROVED 2024-01-16
  • NY RA
    APPROVED
    Since 2026-08-06
  • TX RA
    APPROVED
    Since 2024-01-16

Branch Locations

225 Liberty St, New York, NY 10281 • 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 Tulalip WA 07/2023 Present
University Of Washington Seattle WA 09/2019 06/2023
Brea Olinda High School Brea CA 09/2015 06/2019
Bank Of America, N.A. Tulalip WA 08/2023 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-10-21
  • S66 Uniform Combined State Law Examination
    2023-10-21

View on SEC IAPD

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