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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2025-11-13
TX RA APPROVED 2025-11-13
  • NJ RA
    APPROVED
    Since 2025-11-13
  • TX RA
    APPROVED
    Since 2025-11-13

Branch Locations

100 Campus Dr, Florham Park, NJ 07932 • 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
J.P. Morgan Securities Llc New City NY 10/2012 11/2025
Jpmorgan Chase Bank, N.A. New City NY 10/2012 11/2025
Merrill Lynch, Pierce, Fenner & Smith Incorporated Florham Park NJ 11/2025 Present
Previous Registrations
  • 2012-10-01 → 2025-11-14
    New City, NY
    Stamford, CT
    Madison, NJ
    Verona, NJ
    Verona, NJ
    Livingston,, NJ
    West Caldwell, NJ
    Parsippany, NJ
    Mount Freedom, NJ
    Nutley, NJ
    Montclair, NJ
    Florham Park, NJ
    Westfield, NJ
    Short Hills, NJ
    Princeton, NJ
  • 2007-01-25 → 2012-10-01
    Chase Investment Services Corp.
    New City, NY
    Nyack, NY
  • 2006-06-20 → 2007-01-19
    Sorrento Pacific Financial, Llc
    Township Of Washington, NJ
Other Businesses

Name:Rental Property 1 Not Investment Related Address:Clifton,New Jersey Nature: Rental Property Your Position, Title, or Relationship:Co-owner with other family members Start date:11/4/2013 Approximate number of hours/month:2 Number of hours you devote during securities trading hours: 0 Duties:Two Family Property.Co-owner with other family members

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-06-17
S63 Uniform Securities Agent State Law Examination 1996-02-21
  • S66 Uniform Combined State Law Examination
    2006-06-17
  • S63 Uniform Securities Agent State Law Examination
    1996-02-21

View on SEC IAPD

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