Raj Bhatia

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2017-12-06
CA	RA	APPROVED	2010-04-28
IL	RA	APPROVED	1998-04-12
TX	RA	APPROVED_RES	1983-10-24

FL RA
APPROVED

Since 2017-12-06
CA RA
APPROVED

Since 2010-04-28
IL RA
APPROVED

Since 1998-04-12
TX RA
APPROVED_RES

Since 1983-10-24

Branch Locations

Naples, FL • United States

110 N Wacker Dr Pbig - Chicago, Chicago, IL 60606 • United States

9128 Strada Pl, Naples, FL 34108 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Chicago	IL	07/1981	11/2022
Bank Of America, N.A.	Chicago	IL	09/2009	11/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Naples	FL	11/2022	Present

07/1981 → 11/2022

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chicago, IL
09/2009 → 11/2022

Bank Of America, N.A.

Chicago, IL
11/2022 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Naples, FL

Other Businesses

I*973411 Name of OBA: Rental Property 2 Address: Chicago, IL Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 9/1/2022 No Hours: 1 Monthly No Hours during trading: 0 Duties: Co-owner with other family members/ rental property

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-08-12
S63	Uniform Securities Agent State Law Examination	1981-10-08

S65 Uniform Investment Adviser Law Examination

1994-08-12
S63 Uniform Securities Agent State Law Examination

1981-10-08

Other Names

Rajesh Bhatia

View on SEC IAPD