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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 2018-03-15
  • TX RA
    APPROVED_RES
    Since 2018-03-15

Branch Locations

One Bryant Park Gwim Chief Investment Office (Cio), New York, NY 10036 • United States

100 Federal St Gwim Chief Investment Office (Cio), Boston, MA 02110 • 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
Commonwealth Financial Network Waltham MA 01/2003 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Boston MA 06/2005 Present
Bank Of America Na Boston MA 06/2005 Present
Previous Registrations
Other Businesses

I*1022282For profit or not for profit: Entity For ProfitName of outside business organization: Blister LLCInvestment related: NAddress of business: Marblehead, Massachusetts, 01945Nature of business: ["Limited Liability Company"]Position, title, association: ["Director"], Start date of relationship: 10/1/2022Number of hours devoted: 0 hour(s) YearlyNumber of hours devoted during trading hours: 0Duties: , Seasonal Rental Property. I am the sole director of it. I*1136251For profit or not for profit: Name of outside business organization: Blister Two LLCInvestment related: NAddress of business: , , Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , Simply and LLC used to hold a rental property on behalf of my spouse. I*2201275, Entity Type: Entity For Profit, Name of OBA: Instinct Digital, Address: London, , EC1A 7DH, Investment Related: N, Position, Title, Association: ["Other"], Employee State Date: 03/03/2025, No Hours: 5 Monthly, No Hours during Trading: 0 Monthly, Duties: Instinct Digital's mission is to transform communication in the investment management industry making it accessible, intelligible and customer centric. Instinct is a leading provider of digital reporting solutions. It helps asset and wealth managers unify reporting assets, digitize communications, and optimize reporting operations. Instinct's flagship product is a state-of-the-art cloud-based platform that streamlines and automates key aspects of fund and investor reporting. As an advisory board member, I will help to guide an provide advice as the business scales into the US markets.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2016-07-26
S66 Uniform Combined State Law Examination 2001-04-27
  • S63 Uniform Securities Agent State Law Examination
    2016-07-26
  • S66 Uniform Combined State Law Examination
    2001-04-27

View on SEC IAPD

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