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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2010-06-25
TX RA APPROVED_RES 2006-11-29
  • PA RA
    APPROVED
    Since 2010-06-25
  • TX RA
    APPROVED_RES
    Since 2006-11-29

Branch Locations

1108 Kennebec Dr, Chambersburg, PA 17201 • 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 : 7691 Chambersburg PA 11/2006 Present
Bank Of America, Na Chambersburg PA 12/2009 Present
  • 11/2006 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Chambersburg, PA
  • 12/2009 → Present
    Bank Of America, Na
    Chambersburg, PA
Other Businesses

I*657236 For profit or not for profit: Entity Charitable Name of outside business organization: American Cancer Society Inc Investment related: N Address of business: Kennesaw, Georgia, 30144 Nature of business: ["Charitable Organization"] Position, title, association: ["Board Member","Officer"], Start date of relationship: 5/1/2021 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , American Cancer Societies Purpose is to eliminate cancer. I will sit on an oversight board for South Central PA to support it's staff and volunteers in this role. I*108896 For profit or not for profit: Non-Profit Organization Name of outside business organization: Chambersburg Area Civitan Club Investment related: N Address of business: Chambersburg, Pennsylvania 17201 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 9/17/2017 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 2 Duties: Civitan International is an organization of local service clubs dedicated to making the world a better place. I*136397 For profit or not for profit: Non-Profit Organization Name of outside business organization: Capitol Theatre Center Investment related: Address of business: Chambersburg, Pennsylvania 17201 Nature of business: Charitable Organization, Compensation for Activity: Position, title, association: , Start date of relationship: 3/21/2021 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Advisory Board member, fundraising

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-02-14
S63 Uniform Securities Agent State Law Examination 2000-10-04
  • S65 Uniform Investment Adviser Law Examination
    2001-02-14
  • S63 Uniform Securities Agent State Law Examination
    2000-10-04
Other Names
  • Kris Frank

View on SEC IAPD

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