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Joseph A. Carlani

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Princeton, NJ

Charlotte, NC

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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 2019-01-02
NJ RA APPROVED 2015-03-02
  • TX RA
    APPROVED_RES
    Since 2019-01-02
  • NJ RA
    APPROVED
    Since 2015-03-02

Branch Locations

845 Alexander Rd, Princeton, NJ 08540 • United States

620 S Tryon St, Charlotte, NC 28255 • 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 Princeton NJ 01/2015 Present
Previous Registrations
  • 2013-01-15 → 2015-02-27
    Stone Toro Investment Advisers
    Princeton, NJ
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2015-06-30
S65 Uniform Investment Adviser Law Examination 2013-01-14
  • S63 Uniform Securities Agent State Law Examination
    2015-06-30
  • S65 Uniform Investment Adviser Law Examination
    2013-01-14
Other Names
  • Joseph Almont Carlani
  • Joseph Almont Carlani
  • Joseph A. Carlani Iii

View on SEC IAPD

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