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David Leon Halpern

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Atlanta, GA

Alpharetta, GA

Milton, GA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2004-04-06
TX RA APPROVED_RES 2000-06-20
  • GA RA
    APPROVED
    Since 2004-04-06
  • TX RA
    APPROVED_RES
    Since 2000-06-20

Branch Locations

3455 Peachtree Rd Ne, Atlanta, GA 30326 • United States

10000 Avalon Blvd, Alpharetta, GA 30009 • United States

Milton, GA • 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 Buckhead GA 04/2000 Present
Bank Of America, Na Buckhead GA 12/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-04-20
S63 Uniform Securities Agent State Law Examination 1988-10-21
  • S65 Uniform Investment Adviser Law Examination
    1999-04-20
  • S63 Uniform Securities Agent State Law Examination
    1988-10-21

View on SEC IAPD

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