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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2015-08-11 |
| CT | RA | APPROVED | 2009-11-05 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Marlborough | MA | 10/2009 | Present |
| Bank Of America, N.A. | Worcester | MA | 05/2011 | Present |
I*2884269 Entity Type: Fiduciary role Name of OBA: Smith Family Investment Trust Address: Worcester Massachusetts Investment Related: No Position, Title, Association: Co-Trustee Start Date:09/17/2025 No Hours: 1 Yearly No Hours during trading:0 Duties: Co-trustee of new trust for myself and my wife. I*3652267 Entity Type: Fiduciary role Name of OBA: Smith Family Investment Trust Address: Worcester, Massachusetts, 1604 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 01/27/2026 Number of Hours: 2, Yearly Number of Hours during trading: 2, Yearly Duties: Co-Trustee Self/Family
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-08-20 |
| S63 | Uniform Securities Agent State Law Examination | 2000-11-13 |
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