Craig L Somerby

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
MT	RA	APPROVED	2020-12-21
CT	RA	APPROVED	2002-11-22
TX	RA	APPROVED	2002-11-22

MT RA
APPROVED

Since 2020-12-21
CT RA
APPROVED

Since 2002-11-22
TX RA
APPROVED

Since 2002-11-22

Branch Locations

Ennis, MT • United States

2 Pine St, New Canaan, CT 06840 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	New Canaan	CT	11/2002	Present
Bank Of America,N.A.	New Canaan	CT	06/2011	Present

11/2002 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New Canaan, CT
06/2011 → Present

Bank Of America,N.A.

New Canaan, CT

Previous Registrations

1993-06-21 → 2002-12-02

Ubs Financial Services Inc.

Stamford, CT

Other Businesses

I*2612265, Entity Type: , Name of OBA: M L C, Address: Chatham , Massachusetts, 02633, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 01/12/2024, No Hours: 5 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-06-15
S63	Uniform Securities Agent State Law Examination	1989-02-10

S66 Uniform Combined State Law Examination

2001-06-15
S63 Uniform Securities Agent State Law Examination

1989-02-10

Other Names

Craig Vincent Somerby

View on SEC IAPD