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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 2007-01-04
NJ RA APPROVED 2004-04-02
  • TX RA
    APPROVED
    Since 2007-01-04
  • NJ RA
    APPROVED
    Since 2004-04-02

Branch Locations

77 Broad St, Red Bank, NJ 07701 • 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 Red Bank NJ 08/1998 Present
Bank Of America, N.A. Beaumont TX 12/2009 Present
Other Businesses

I*410123For profit or not for profit: Name of outside business organization: NAVESINK GARDEN CLUBInvestment related: NAddress of business: Elberon, New Jersey 07740Position, title, association: Committee, Director, Fundraising committeeStart date of relationship: 8/31/2021Number of hours devoted: 56 hours YearlyNumber of hours devoted during trading hours: 8 hrsDuties: Ways and Means Co-Chairperson - I will share in the responsibility of organizing small Fundraisers for the Club, and organizing short day trips to tour nearby gardens.I will also be on the Executive Board, serving as a Director. I*2060271, Entity Type Fiduciary, Name of OBA: BT Address: Point Pleasant Boro, New Jersey, 08742 Investment Related: No Position, Title, Association: Guardianship Employee Start Date: 25-Nov-2024 No Hours: 1 Weekly No Hours during trading: 1 Weekly Duties: I*2060270, Entity Type Fiduciary, Name of OBA: K T Address: Oceanport, New Jersey, 07757 Investment Related: No Position, Title, Association: Administrator Employee Start Date: 31-Oct-2024 No Hours: 1 weekly No Hours during trading: 1 weekly Duties: I*2948289, Entity Type: , Name of OBA: M F N, Address: Holmdel, New Jersey, 07733-2500, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 10/03/2025, No Hours: 10 Yearly, No Hours during Trading: 1 Yearly, Duties: I*: 3012275Entity Type: POAName of OBA: MFN Address: OceanportNew Jersey07757Investment Related: yesPosition, Title, Association: Power of AttorneyEmployee Start Date: 09/24/2025No Hours: 1hr/wk No Hours during trading: 1hr/wkDuties: POA I*4167267, Entity Type: , Name of OBA: M F L-N, Address: Oceanport, New Jersey, 07757, Investment Related: N, Position, Title, Association: Power of Attorney, Employee Start Date: 03/26/2026, No Hours: 1 Weekly, No Hours during Trading: 1 Weekly, Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-11-21
S63 Uniform Securities Agent State Law Examination 1995-06-22
  • S65 Uniform Investment Adviser Law Examination
    1995-11-21
  • S63 Uniform Securities Agent State Law Examination
    1995-06-22

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