Claudia Anne Ross

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2010-04-29

TX RA
APPROVED_RES

Since 2010-04-29

Branch Locations

1414 Massachusetts Ave, Cambridge, MA 02138 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Boston	MA	06/1988	Present

06/1988 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boston, MA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-05-08
S63	Uniform Securities Agent State Law Examination	1994-02-11

S65 Uniform Investment Adviser Law Examination

1995-05-08
S63 Uniform Securities Agent State Law Examination

1994-02-11

Other Names

Claudia A Ross

View on SEC IAPD

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