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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_RES 2017-08-25
VA RA APPROVED 2010-06-04
  • TX RA
    APPROVED_RES
    Since 2017-08-25
  • VA RA
    APPROVED
    Since 2010-06-04

Branch Locations

8075 Leesburg Pike, Vienna, VA 22182 • 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 Vienna VA 06/2010 Present
Bank Of America,Na Vienna VA 07/2010 Present
Previous Registrations
  • 2009-06-01 → 2010-06-23
    Mclean, VA
  • 2006-02-21 → 2009-06-01
    Mclean, VA
    Mclean, VA
    New York, NY
    Mclean, VA
  • 1991-07-29 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Mclean, VA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-06-07
S63 Uniform Securities Agent State Law Examination 1985-05-07
  • S65 Uniform Investment Adviser Law Examination
    1991-06-07
  • S63 Uniform Securities Agent State Law Examination
    1985-05-07

View on SEC IAPD

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