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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 1983-08-23
  • TX RA
    APPROVED
    Since 1983-08-23

Branch Locations

2100 Ross Ave, Dallas, TX 75201 • 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 Dallas TX 09/1978 Present
Bank Of America, Na Denton TX 12/2009 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1983-09-23
  • S63 Uniform Securities Agent State Law Examination
    1983-09-23

View on SEC IAPD

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