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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 2001-07-13
DE RA APPROVED 2000-02-01
  • TX RA
    APPROVED_RES
    Since 2001-07-13
  • DE RA
    APPROVED
    Since 2000-02-01

Branch Locations

Wilmington, DE • United States

2951 Centerville Rd, Wilmington, DE 19808 • 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 Dover DE 08/1998 Present
Bank Of America,N.A. Dover DE 06/2011 Present
Other Businesses

I*1152354, Entity Type: Entity Charitable, Name of OBA: Fund For Women, Address: Newark, Delaware 19711, Investment Related: N, Position, Title, Association: Committee, Employee Start Date: 01/25/2023, No Hours: 16, No Hours during trading: 0, Duties: Serving as a member of the grants committee reviewing grant applications

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-01-17
  • S66 Uniform Combined State Law Examination
    2000-01-17
Other Names
  • Stephanie Smith

View on SEC IAPD

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