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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 2013-10-16
FL RA APPROVED 2011-09-08
  • TX RA
    APPROVED_RES
    Since 2013-10-16
  • FL RA
    APPROVED
    Since 2011-09-08

Branch Locations

Jacksonville, FL • United States

9000 Southside Blvd Central Business Review Unit, Jacksonville, FL 32256 • United States

69 State St, Albany, NY 12207 • 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 Jacksonville FL 05/2011 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-09-02
S63 Uniform Securities Agent State Law Examination 2008-05-19
  • S66 Uniform Combined State Law Examination
    2011-09-02
  • S63 Uniform Securities Agent State Law Examination
    2008-05-19

View on SEC IAPD

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