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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2010-09-21
  • NJ RA
    APPROVED
    Since 2010-09-21

Branch Locations

13A Main St, Sparta, NJ 07871 • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Sparta NJ 09/2010 Present
Bank Of America, N.A. Sparta NJ 09/2010 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-04-01
S63 Uniform Securities Agent State Law Examination 1985-07-09
  • S65 Uniform Investment Adviser Law Examination
    1992-04-01
  • S63 Uniform Securities Agent State Law Examination
    1985-07-09
Other Names
  • Nicholas Giosue Miserendino

View on SEC IAPD

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