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Richard Fitzsimmons

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Manasquan, NJ

Jupiter, FL

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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 2026-08-24
TX RA APPROVED_RES 2009-02-20
NJ RA APPROVED 2004-03-17
  • FL RA
    APPROVED
    Since 2026-08-24
  • TX RA
    APPROVED_RES
    Since 2009-02-20
  • NJ RA
    APPROVED
    Since 2004-03-17

Branch Locations

2504 Highway 35, Manasquan, NJ 08736 • United States

900 S Us Highway 1, Jupiter, FL 33477 • 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 Manasquan NJ 12/2002 Present
Bank Of America, N.A. Manasquan NJ 06/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-02-19
S63 Uniform Securities Agent State Law Examination 1984-10-10
  • S65 Uniform Investment Adviser Law Examination
    1994-02-19
  • S63 Uniform Securities Agent State Law Examination
    1984-10-10

View on SEC IAPD

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Other Offices

PERSONAL FINANCIAL SOLUTIONS, LLC · MANASQUAN, NJ
KML FINANCIAL SERVICES GROUP, L.L.C. · MANASQUAN, NJ
THE PRIVATE CLIENT ADVISORY GROUP, LLC · MANASQUAN, NJ
CETERA INVESTMENT ADVISERS LLC · MANASQUAN, NJ
PERSONAL FINANCIAL SOLUTIONS, LLC · Manasquan, NJ
AEGIS CAPITAL CORP. · MANASQUAN, NJ
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