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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 2006-07-18
FL RA APPROVED 1991-12-24
  • TX RA
    APPROVED_RES
    Since 2006-07-18
  • FL RA
    APPROVED
    Since 1991-12-24

Branch Locations

Davie, FL • United States

2400 N Commerce Pkwy, Weston, FL 33326 • 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 Ft. Lauderdale FL 12/1991 Present
Bank Of America, N.A. Weston FL 07/2011 Present
Other Businesses

I*481844, Entity Type Fiduciary , Name of OBA: G and C L (Parents of the Financi Address: Tamarac, Florida, 33321 Investment Related: Yes Position, Title, Association: Power of Attorney Employee Start Date: Nov- 25-2011 No Hours: 1 Yearly No Hours during trading: 1 Yearly Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-10-14
S63 Uniform Securities Agent State Law Examination 1986-10-15
  • S65 Uniform Investment Adviser Law Examination
    1996-10-14
  • S63 Uniform Securities Agent State Law Examination
    1986-10-15
Other Names
  • Jerry Licari

View on SEC IAPD

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