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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2020-11-13
MD RA APPROVED 2014-11-11
  • VA RA
    APPROVED
    Since 2020-11-13
  • MD RA
    APPROVED
    Since 2014-11-11

Branch Locations

5550 Friendship Blvd, Chevy Chase, MD 20815 • United States

620 S Tryon St, Charlotte, NC 28255 • 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
Bank Of America, N.A. Atlanta GA 07/2002 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chevy Chase MD 07/2002 Present
Other Businesses

I*109671 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: DURA LLC INVESTMENT RELATED: Yes ADDRESS OF BUSINESS: VIENNA, VIRGINIA 22182 POSITION, TITLE, ASSOCIATION: LIMITED PARTNER START DATE OF RELATIONSHIP: 10/17/2016 NUMBER OF HOURS DEVOTED: 5 HOURS ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: FAMILY LLC TO PURCHASE PRIVATE INVESTMENTS. OWNED BY MY SPOUSE AND ME. WE WILL EVENTUALLY PASS INTERESTS DOWN TO THE CHILDREN. I*: 2794285 Entity Type: Charitable Name of OBA: AALEAD Address: Washington, DC 20016 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 10/01/2025 Number of Hours: 4 hrs mthly Number of Hours during trading: 2 hrs mthly Duties: Serve on the board for 3 years and be active in the community about sharing the vision of AALEAD

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-11-10
S63 Uniform Securities Agent State Law Examination 2003-01-16
  • S66 Uniform Combined State Law Examination
    2014-11-10
  • S63 Uniform Securities Agent State Law Examination
    2003-01-16
Other Names
  • Uday Jagdish Shah

View on SEC IAPD

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