Joseph M Grunfeld

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-19
NJ	RA	APPROVED	2004-03-17
TX	RA	APPROVED_RES	1995-01-13

NY RA
APPROVED

Since 2021-04-19
NJ RA
APPROVED

Since 2004-03-17
TX RA
APPROVED_RES

Since 1995-01-13

Branch Locations

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

Piermont, NY • 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 No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	New York City	NY	12/1994	Present
Bank Of America, N.A.	New York	NY	06/2011	Present

12/1994 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York City, NY
06/2011 → Present

Bank Of America, N.A.

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-03-25
S63	Uniform Securities Agent State Law Examination	1981-04-15

S65 Uniform Investment Adviser Law Examination

1996-03-25
S63 Uniform Securities Agent State Law Examination

1981-04-15

Other Names

Joseph Mark Grunfeld