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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2015-11-20
TX RA APPROVED_RES 2015-11-19
  • NJ RA
    APPROVED
    Since 2015-11-20
  • TX RA
    APPROVED_RES
    Since 2015-11-19

Branch Locations

100 Somerset Corporate Blvd, Bridgewater, NJ 08807 • United States

Morristown, NJ • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bedminster NJ 11/2015 Present
Bank Of America, N.A. Bedminster NJ 01/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-06-13
S63 Uniform Securities Agent State Law Examination 1984-08-08
  • S66 Uniform Combined State Law Examination
    2002-06-13
  • S63 Uniform Securities Agent State Law Examination
    1984-08-08
Other Names
  • Mark Allen Livingston

View on SEC IAPD

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