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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2021-09-24
  • PA RA
    APPROVED
    Since 2021-09-24

Branch Locations

45 William St, Wellesley Hills, MA 02481 • United States

1600 Jfk Blvd, Philadelphia, PA 19103 • 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 Pennington NJ 02/2018 08/2021
Bank Of America, N.A. Pennington NJ 02/2018 08/2021
Unemployed Holland PA 06/2017 01/2018
Verify Brand Minneapolis MN 02/2017 05/2017
Acsis Inc. Marlton NJ 09/2015 12/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated Philadelphia PA 08/2021 Present
Previous Registrations
Other Businesses

I*9525 For profit or not for profit: For profit Name of outside business organization: Rental Property Investment related: No Address of business: Philadelphia PA Nature of business: Residential Rental Unit Position, title, association: Landlord Start date of relationship: 1/1/2020 Number of hours devoted: 0 hour(s) Number of hours devoted during trading hours: 0 I*504226 For profit or not for profit: Name of outside business organization: Walter Sterling Bott Jr Investment related: N Address of business: Philadelphia, Pennsylvania, 19122, United States Nature of business: Position, title, association: Sole owner, Start date of relationship: 9/1/2021 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: ,

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-05-11
  • S66 Uniform Combined State Law Examination
    2018-05-11
Other Names
  • Walter Bott
  • Walter Sterling Bott
  • Walter S Bott

View on SEC IAPD

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