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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 2024-01-31
CT RA APPROVED 2024-01-25
  • TX RA
    APPROVED
    Since 2024-01-31
  • CT RA
    APPROVED
    Since 2024-01-25

Branch Locations

27 Main St, Andover, MA 01810 • 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
Equitable Advisors, Llc New York NY 02/2022 10/2022
Unemployed Boston MA 06/2021 02/2022
Enterprise Rent-A-Car Roslindale MA 07/2018 06/2021
Axa Advisors, Llc Woodbury NY 07/2017 08/2017
Curry College Milton MA 09/2014 07/2018
Morgan Stanley Wellesley MA 10/2022 08/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated Andover MA 01/2024 Present
Unemployed Chestnut Hill MA 09/2023 01/2024
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-06-10
  • S66 Uniform Combined State Law Examination
    2022-06-10
Other Names
  • Joe Surace
  • Joseph Thomas Surace
  • Joseph T Surace

View on SEC IAPD

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