Michael Wharton

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	2023-08-17
RI	RA	APPROVED	2017-08-14

TX RA
APPROVED_RES

Since 2023-08-17
RI RA
APPROVED

Since 2017-08-14

Branch Locations

1 Financial Plaza, Providence, RI 02903 • 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	Lincoln	RI	05/2017	Present
Webster Bank	Providence	RI	09/2016	05/2017
University Of Rhode Island	Kigston	RI	09/2012	12/2016
Harbor Lights Marina/Restaurant	Warwick	RI	05/2016	09/2016
Cvs Health	Woonsocket	RI	05/2016	09/2016
Bank Of America, N.A.	Lincoln	RI	05/2019	Present

05/2017 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Lincoln, RI
09/2016 → 05/2017

Webster Bank

Providence, RI
09/2012 → 12/2016

University Of Rhode Island

Kigston, RI
05/2016 → 09/2016

Harbor Lights Marina/Restaurant

Warwick, RI
05/2016 → 09/2016

Cvs Health

Woonsocket, RI
05/2019 → Present

Bank Of America, N.A.

Lincoln, RI

Other Businesses

I*2212264, Entity Type: , Name of OBA: Rental Property 1, Address: South Kingstown, Rhode Island, 02879, Investment Related: N, Position, Title, Association: Co-owner with other family members, Employee State Date: 02/22/2025, No Hours: 5 Monthly, No Hours during Trading: 0 Monthly, Duties: I*2521271, Entity Type: Entity For Profit, Name of OBA: Wharton Family, LLC, Address: Wakefield, Rhode Island, 02879, Investment Related: N, Position, Title, Association: General Partner/Managing Member, Employee State Date: 06/05/2025, No Hours: 2 Monthly, No Hours during Trading: 0 Monthly, Duties: Rental Property Owner

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-08-11

S66 Uniform Combined State Law Examination

2017-08-11