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Harold W Smith

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Southbury, CT

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 1999-03-23
  • CT RA
    APPROVED
    Since 1999-03-23

Branch Locations

108 Main St N, Southbury, CT 06488 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Southbury CT 12/1998 Present
Bank Of America, N.A. Southbury CT 06/2011 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-03-03
  • S66 Uniform Combined State Law Examination
    1999-03-03
Other Names
  • Hal Smith
  • Harold W Smith
  • Harold Webster Smith

View on SEC IAPD

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CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Southbury, CT
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SOUTHBURY, CT
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WELLS FARGO CLEARING SERVICES, LLC · SOUTHBURY, CT
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