Roger Joseph Fox

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2011-08-30
CT	RA	APPROVED	1992-04-23

TX RA
APPROVED_RES

Since 2011-08-30
CT RA
APPROVED

Since 1992-04-23

Branch Locations

301 Tresser Blvd, Stamford, CT 06901 • 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	Stamford	CT	09/1978	Present
Bank Of America, Na	Stamford	CT	09/2009	Present

09/1978 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Stamford, CT
09/2009 → Present

Bank Of America, Na

Stamford, CT

Other Businesses

I*: 2974275 Entity Type: Rental Property Name of OBA: Rental Property 1 Address: Stamford, CT 06907 Investment Related: No Position, Title, Association: Sole owner Employee Start Date: 07/15/2024 Number of Hours: 2 hrs wkly Number of Hours during trading: 0 Duties: Sole owner of rental property

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-10-10
S63	Uniform Securities Agent State Law Examination	1985-10-28

S65 Uniform Investment Adviser Law Examination

2007-10-10
S63 Uniform Securities Agent State Law Examination

1985-10-28

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

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