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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 2019-09-06
OH RA APPROVED 2019-08-20
  • TX RA
    APPROVED
    Since 2019-09-06
  • OH RA
    APPROVED
    Since 2019-08-20

Branch Locations

8890 Lyra Dr, Columbus, OH 43240 • 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
Unemployed Reynoldsburg OH 06/2016 09/2016
Fidelity Brokerage Services, Llc Covington KY 10/2016 10/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Columbus OH 04/2018 Present
Unemployed Reynoldsburg OH 10/2017 04/2018
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-08-19
S63 Uniform Securities Agent State Law Examination 2016-11-19
  • S66 Uniform Combined State Law Examination
    2019-08-19
  • S63 Uniform Securities Agent State Law Examination
    2016-11-19
Other Names
  • Carmina Marie Congbalay Nicolas
  • Carmina Marie Nicolas

View on SEC IAPD

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