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Frederick Earl Walter

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Florham Park, 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_RES 2009-02-19
NJ RA APPROVED 2003-01-29
  • TX RA
    APPROVED_RES
    Since 2009-02-19
  • NJ RA
    APPROVED
    Since 2003-01-29

Branch Locations

100 Campus Dr, Florham Park, NJ 07932 • 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 Florham Park NJ 07/1985 Present
Bank Of America,Na Florham Park NJ 11/2010 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-07-25
S63 Uniform Securities Agent State Law Examination 1986-03-27
  • S65 Uniform Investment Adviser Law Examination
    1994-07-25
  • S63 Uniform Securities Agent State Law Examination
    1986-03-27
Other Names
  • Rick Walter
  • Frederick E Walter

View on SEC IAPD

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