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Michael L Walters

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

Pennington, NJ

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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 2008-05-07
NJ RA APPROVED 2008-04-09
  • TX RA
    APPROVED
    Since 2008-05-07
  • NJ RA
    APPROVED
    Since 2008-04-09

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

1100-1800 American Blvd, Pennington, NJ 08534 • 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 01/2007 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-04-07
S63 Uniform Securities Agent State Law Examination 1999-05-14
  • S66 Uniform Combined State Law Examination
    2008-04-07
  • S63 Uniform Securities Agent State Law Examination
    1999-05-14
Other Names
  • Michael Loyal Walters
  • Michael Loyal Walters
  • Michael Walters

View on SEC IAPD

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