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Lorraine Sloper

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Providence, RI

Cumberland, RI

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2013-08-19
TX RA APPROVED_RES 2012-07-10
CT RA APPROVED 2009-10-23
  • RI RA
    APPROVED
    Since 2013-08-19
  • TX RA
    APPROVED_RES
    Since 2012-07-10
  • CT RA
    APPROVED
    Since 2009-10-23

Branch Locations

1 Financial Plaza, Providence, RI 02903 • United States

Cumberland, RI • 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 Providence RI 10/2009 Present
Bank Of America,N.A. Providence RI 06/2011 Present
Previous Registrations
  • 2007-09-13 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Attleboro, MA
  • 2007-07-25 → 2007-09-04
    Osaic Institutions, Inc.
    Fall River, MA
    Brockton, MA
    Meriden, CT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-07-19
S65 Uniform Investment Adviser Law Examination 1998-07-30
S63 Uniform Securities Agent State Law Examination 1987-11-02
  • S66 Uniform Combined State Law Examination
    2007-07-19
  • S65 Uniform Investment Adviser Law Examination
    1998-07-30
  • S63 Uniform Securities Agent State Law Examination
    1987-11-02
Other Names
  • Lorraine Leila Anderson
  • Lori Anderson
  • Lori L Anderson
  • Lorraine Leila Richard
  • Lorraine Leila Anderson
  • Lorraine Leila Anderson-Martin
  • Lori Richard
  • Lorraine L Anderson-Martin
  • Lorraine Anderson
  • Lorraine Sloper
  • Lorraine Anderson

View on SEC IAPD

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