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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 2014-12-11
CT RA APPROVED 2014-05-30
  • TX RA
    APPROVED
    Since 2014-12-11
  • CT RA
    APPROVED
    Since 2014-05-30

Branch Locations

2 Pickwick Plz, Greenwich, CT 06830 • 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 Stamford CT 02/2014 Present
Bank Of America, N.A. Stamford CT 07/2014 Present
Other Businesses

I*97699 For profit or not for profit: Non-Profit Organization Name of outside business organization: Harlem Lacrosse Investment related: N Address of business: New York, New York 10030 Nature of business: Charitable Organization Position, title, association: Director, Start date of relationship: 9/29/2016 Number of hours devoted: 20 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Helping bring awareness and raise money. I*105359 For profit or not for profit: Non-Profit Organization Name of outside business organization: Open Door Shelter Investment related: N Address of business: Norwalk, Connecticut 6854 Nature of business: Charitable Organization, Position, title, association: Director, Start date of relationship: 1/1/2019 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Board Member /General Volunteer I*976293 For profit or not for profit: Entity Charitable Name of outside business organization: Norwalk Community College Foundation Investment related: N Address of business: Norwalk, Connecticut, 06854 Nature of business: ["Charitable Organization"] Position, title, association: ["Board Member"], Start date of relationship: 9/14/2022 Number of hours devoted: 15 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , Help Guide. Fundraise. Mentor Young Adults I*1167255 For profit or not for profit: Entity Charitable Name of outside business organization: The Center for Economic Research and Soc - Haymarket Books Investment related: N Address of business: Chicago, Illinois, 60613 Nature of business: ["Charitable Organization"] Position, title, association: ["Other"], Start date of relationship: 1/1/2023 Number of hours devoted: 0.1 hour(s) Yearly Number of hours devoted during trading hours: 0.1 Duties: Joint heir of author, Claudia Tate., Book Publisher. Grant permission to publish deceased Mother's book.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-05-28
  • S66 Uniform Combined State Law Examination
    2014-05-28
Other Names
  • Read Spratling-Tate Hubbard
  • Read Hubbard

View on SEC IAPD

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