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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-02-12
VA RA APPROVED 2008-11-10
TX RA APPROVED 2008-11-07
  • FL RA
    APPROVED
    Since 2025-02-12
  • VA RA
    APPROVED
    Since 2008-11-10
  • TX RA
    APPROVED
    Since 2008-11-07

Branch Locations

Singer Island, FL • United States

11951 Freedom Dr, Reston, VA 20190 • United States

Tequesta, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 Reston VA 11/2008 Present
Bank Of America, Na Reston VA 11/2009 Present
  • 11/2008 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Reston, VA
  • 11/2009 → Present
    Bank Of America, Na
    Reston, VA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-12-13
S63 Uniform Securities Agent State Law Examination 1985-08-15
  • S65 Uniform Investment Adviser Law Examination
    1991-12-13
  • S63 Uniform Securities Agent State Law Examination
    1985-08-15

View on SEC IAPD

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