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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 2019-01-17
NJ RA APPROVED 2004-05-19
  • TX RA
    APPROVED_RES
    Since 2019-01-17
  • NJ RA
    APPROVED
    Since 2004-05-19

Branch Locations

1700 State Route 23, Wayne, NJ 07470 • United States

Wayne, 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 Wayne NJ 08/1989 Present
Bank Of America, Na Wayne NJ 12/2009 Present
Other Businesses

I*2158261, Entity Type: Entity Charitable, Name of OBA: Christian Health Senior Housing Deveopment corp, Address: wayne, New Jersey, 07470, Investment Related: N, Position, Title, Association: Board Member, Employee Start Date: 12/01/2023, No Hours: 2 Monthly, No Hours during Trading: 0 Monthly, Duties: board member my role is that of a board member which provides the vision of the project and ultimately oversees the renovation and operation of the low income senior units.develop low income senior housing the entity's purpose/mission is to provide low income senior housing. the demand for this is enormous as evidenced by the long waiting list for Sisco village which is operated by the other entity, Wayne Seniors Housing GP. this entity (Wayne Seniors Development corp) currently does not own or operate units. we may be purchasing a facility soon to renovate and operate that would provide units for low income senior housing

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-01-31
S63 Uniform Securities Agent State Law Examination 1989-11-09
  • S65 Uniform Investment Adviser Law Examination
    1994-01-31
  • S63 Uniform Securities Agent State Law Examination
    1989-11-09

View on SEC IAPD

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