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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 2019-09-20
NJ RA APPROVED 2014-11-17
  • TX RA
    APPROVED_RES
    Since 2019-09-20
  • NJ RA
    APPROVED
    Since 2014-11-17

Branch Locations

1415 Hooper Ave, Toms River, NJ 08753 • United States

Allentown, NJ • 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 Toms River NJ 11/2014 Present
Bank Of America, N.A. Toms River NJ 01/2015 Present
Previous Registrations
  • 2009-06-01 → 2014-11-19
    Lawrenceville, NJ
    Toms River, NJ
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Lawrenceville, NJ
  • 2002-07-23 → 2007-04-02
    Morgan Stanley Dw Inc.
    Lawrenceville, NJ
    Lawrencevill, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-07-17
S63 Uniform Securities Agent State Law Examination 1987-06-19
  • S65 Uniform Investment Adviser Law Examination
    2002-07-17
  • S63 Uniform Securities Agent State Law Examination
    1987-06-19

View on SEC IAPD

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