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Roderick A Jones

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Melville, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
TX RA APPROVED_RES 2012-11-19
NJ RA APPROVED 2009-10-23
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2012-11-19
  • NJ RA
    APPROVED
    Since 2009-10-23

Branch Locations

300 Broadhollow Rd, Melville, NY 11747 • 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 New York NY 10/2009 Present
Bank Of America, Na New York NY 12/2009 Present
Previous Registrations
  • 2004-10-20 → 2009-10-23
    Banc Of America Investment Services, Inc.
    New York, NY
    New York, NY
  • 2008-09-25 → 2008-10-03
    Oppenheimer & Co. Inc.
    New York, NY
  • 2002-11-25 → 2004-10-20
    Quick & Reilly, Inc.
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-09-09
  • S66 Uniform Combined State Law Examination
    1999-09-09

View on SEC IAPD

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