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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 2019-07-30
IL RA APPROVED 2018-10-22
  • TX RA
    APPROVED
    Since 2019-07-30
  • IL RA
    APPROVED
    Since 2018-10-22

Branch Locations

110 N Wacker Dr, Chicago, IL 60606 • 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 Chicago IL 07/2018 Present
Cafe Calamari Williams Bay WI 06/2015 06/2018
University Of Wisconsin-Madison Madison WI 08/2014 05/2018
Shoo Madison WI 08/2017 05/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Oak Brook IL 06/2017 08/2017
Bank Of America, N.A. Chicago IL 07/2019 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-10-19
  • S66 Uniform Combined State Law Examination
    2018-10-19
Other Names
  • Nicolina Falcone

View on SEC IAPD

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