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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2019-07-03
TX RA APPROVED_RES 2012-04-11
DC RA APPROVED 2012-02-24
  • MD RA
    APPROVED
    Since 2019-07-03
  • TX RA
    APPROVED_RES
    Since 2012-04-11
  • DC RA
    APPROVED
    Since 2012-02-24

Branch Locations

1800 K St Nw, Washington, DC 20006 • United States

St. Michaels, MD • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Washington DC 02/2012 Present
Bank Of America, N.A. Washington DC 03/2012 Present
Previous Registrations
  • 2009-06-01 → 2012-03-09
    Washington, DC
    Washington, DC
  • 2007-09-12 → 2009-06-01
    Washington, DC
  • 2001-10-12 → 2007-09-11
    A. G. Edwards & Sons, Inc.
    Washington, DC
    Washington, DC
Other Businesses

I*111594For profit or not for profit: Non-Profit OrganizationName of outside business organization: C. E. S. Jewish Day SchoolInvestment related: YesAddress of business: Rockville, Maryland 20852Nature of business: CorporationPosition, title, association: Committee MemberStart date of relationship: 2/5/2018Number of hours devoted: 5 hours QuarterlyNumber of hours devoted during trading hours: 3Duties: Member, Investment Committee. Work with other volunteers to conduct oversight of the school's investment accounts and monitor investment policy.I*2159293, Entity Type, Name of OBA:The Avalon Foundation Finance Committee Address: EastonMaryland21601 Investment Related: No Position, Title, Association: Finance Committee Employee Start Date: 07/18/2025No Hours: 3 monthly No Hours during trading: 3 monthly Duties: Monthly board meetings; focus on strategy and growth of audience and donor base. Leading non-profit arts organization on Maryland's Eastern Shore. I*4470267 Entity Type: Fiduciary Role Name of OBA: MLPF& S CUST FBO M A C DCSD IRA FBO B H Address: Bethesda, Maryland, 20816 Investment Related: No Position, Title, Association: Trustee Employee Start Date: 04/20/2026 Number of Hours: 1, Yearly Number of Hours during trading: 1, Yearly Duties: Child/Grandchild

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-05-21
  • S66 Uniform Combined State Law Examination
    2001-05-21
Other Names
  • John Hasenberg

View on SEC IAPD

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