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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-12-06 |
| VA | RA | APPROVED | 2010-02-18 |
| NH | RA | APPROVED | 2008-01-10 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Stamford | CT | 03/2004 | Present |
I*30463FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: FINRAINVESTMENT RELATED: NADDRESS OF BUSINESS:NY, NEW YORK 10006NATURE OF BUSINESS: OTHER,SROPOSITION, TITLE, ASSOCIATION: OTHER, FINRA ARBITRATORSTART DATE OF RELATIONSHIP: 1/24/2009NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 10DUTIES: OTHER INDUSTRY/CUSTOMER RESOLUTION I*3302282, Entity Type: , Name of OBA: J M, Address: mclean, Virginia, 22102, Investment Related: N, Position, Title, Association: Executor, Employee Start Date: 12/11/2030, No Hours: 0 Yearly, No Hours during Trading: 1 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-07-08 |
| S63 | Uniform Securities Agent State Law Examination | 1987-02-27 |
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