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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2010-06-24
NJ RA APPROVED 2004-04-21
TX RA APPROVED_RES 1996-08-26
  • FL RA
    APPROVED
    Since 2010-06-24
  • NJ RA
    APPROVED
    Since 2004-04-21
  • TX RA
    APPROVED_RES
    Since 1996-08-26

Branch Locations

7 Roszel Rd, Princeton, NJ 08540 • United States

Naples, FL • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Princeton NJ 12/1979 Present
Bank Of America, Na Princeton NJ 09/2009 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-01-26
S63 Uniform Securities Agent State Law Examination 1982-12-22
  • S66 Uniform Combined State Law Examination
    2006-01-26
  • S63 Uniform Securities Agent State Law Examination
    1982-12-22

View on SEC IAPD

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