Frederick Moss

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2009-08-10
NJ	RA	APPROVED	2004-04-15

TX RA
APPROVED_RES

Since 2009-08-10
NJ RA
APPROVED

Since 2004-04-15

Branch Locations

100 Campus Dr, Florham Park, NJ 07932 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Morristown	NJ	04/1983	Present
Bank Of America, N.A.	Florham Park	NJ	05/2011	Present

04/1983 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Morristown, NJ
05/2011 → Present

Bank Of America, N.A.

Florham Park, NJ

Other Businesses

I*2150276, Entity Type: Fiduciary, Name of OBA: H M, Address: Bernardsville, New Jersey, 07924, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 02-Jan-2025, No Hours: 3 Yearly, No Hours during Trading: 1 Yearly, Duties:

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-12-06
S63	Uniform Securities Agent State Law Examination	1983-07-13

S65 Uniform Investment Adviser Law Examination

1994-12-06
S63 Uniform Securities Agent State Law Examination

1983-07-13

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

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