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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2016-05-26
TX RA APPROVED_RES 2013-01-10
CT RA APPROVED 1996-04-24
  • FL RA
    APPROVED
    Since 2016-05-26
  • TX RA
    APPROVED_RES
    Since 2013-01-10
  • CT RA
    APPROVED
    Since 1996-04-24

Branch Locations

2301 Se Monterey Rd, Stuart, FL 34996 • 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 Stuart FL 04/1996 Present
Bank Of America, N.A. Stuart FL 05/2010 Present
Other Businesses

I*43444 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: CHRISTMAS COVE PROPERTIES LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: MONTCLAIR, NEW JERSEY 7043 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: LIMITED PARTNER, START DATE OF RELATIONSHIP: 6/3/2002 NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: NONE

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-08-12
S63 Uniform Securities Agent State Law Examination 1986-07-30
  • S65 Uniform Investment Adviser Law Examination
    1992-08-12
  • S63 Uniform Securities Agent State Law Examination
    1986-07-30
Other Names
  • Austin Cane Drukker

View on SEC IAPD

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