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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 2024-08-06
FL RA APPROVED 2024-07-25
  • TX RA
    APPROVED
    Since 2024-08-06
  • FL RA
    APPROVED
    Since 2024-07-25

Branch Locations

1819 Main St, Sarasota, FL 34236 • 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 Bradenton FL 04/2015 Present
Western Governors University Las Vegas NV 01/2018 08/2018
Western Governors University Las Vegas NV 01/2019 06/2019
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-07-09
S63 Uniform Securities Agent State Law Examination 2024-07-05
  • S65 Uniform Investment Adviser Law Examination
    2024-07-09
  • S63 Uniform Securities Agent State Law Examination
    2024-07-05
Other Names
  • Patrick S Compston

View on SEC IAPD

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