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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 2008-02-26
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2008-02-26

Branch Locations

21 Masse Pl, Batavia, NY 14020 • United States

Batavia, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Buffalo NY 02/2008 Present
Bank Of America,N.A. Batavia NY 06/2011 Present
Other Businesses

1.FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION2.NAME OF OUTSIDE BUSINESS ORGANIZATION: ROCKY POINT3.INVESTMENT RELATED: N4.ADDRESS OF BUSINESS: 44 ROCKY POINT, UNIT D-2, INLET, NEW YORK 133606.POSITION, TITLE, ASSOCIATION: OWNER, 7.START DATE OF RELATIONSHIP: 6/24/20128.NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLY9.NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 010.DUTIES: BOUGHT A RENTAL PROPERTY. I*4508296 Entity Type: Entity For Profit Name of OBA: Batavia NY Downtown Revitalization Committee Address: Batavia, New York, 14020 Investment Related: No Position, Title, Association: Committee Employee Start Date: 06/01/2026 Number of Hours: 15, Monthly Number of Hours during trading: 0, Monthly Duties: The City of Batavia was recently awarded a $10 mil grant for the revitalization of its downtown. This committee will advise on how the grant money is distributed to various projects. a half dozen meetings to learn about the various project applications, culminating in the group's recommendation to the State as to what projects should be supported I*4569276 Entity Type: Entity Charitable Name of OBA: GLOW Ymca Support Corp Address: Batavia, New York, 14020 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 05/01/2023 Number of Hours: 1, Yearly Number of Hours during trading: 0, Yearly Duties: entity used to facilitate new market tax credits for the Ymca "review" year end reporting...there is no voting

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-01-26
S63 Uniform Securities Agent State Law Examination 1988-01-21
  • S65 Uniform Investment Adviser Law Examination
    2006-01-26
  • S63 Uniform Securities Agent State Law Examination
    1988-01-21
Other Names
  • John Joseph Riter

View on SEC IAPD

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