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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 2022-12-08
KY RA APPROVED 2022-11-30
  • TX RA
    APPROVED_RES
    Since 2022-12-08
  • KY RA
    APPROVED
    Since 2022-11-30

Branch Locations

101 Bullitt Ln, Louisville, KY 40222 • United States

One Bryant Park, New York, NY 10036 • 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 Louisville KY 09/2022 Present
Kentuckiana Rheumatology Louisville KY 01/2015 09/2022
Home Instead Senior Care Louisville KY 08/2016 05/2018
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-03-04
  • S66 Uniform Combined State Law Examination
    2022-03-04

View on SEC IAPD

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