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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 2015-06-26
MD RA APPROVED 2015-03-24
  • TX RA
    APPROVED
    Since 2015-06-26
  • MD RA
    APPROVED
    Since 2015-03-24

Branch Locations

11810 Grand Park Ave, North Bethesda, MD 20852 • 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
Bank Of America, N.A. Fredrick DE 12/1996 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Frederick MD 10/2009 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-03-23
S63 Uniform Securities Agent State Law Examination 2006-09-13
  • S66 Uniform Combined State Law Examination
    2015-03-23
  • S63 Uniform Securities Agent State Law Examination
    2006-09-13

View on SEC IAPD

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