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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_RES 2016-08-19
PA RA APPROVED 2010-06-18
  • TX RA
    APPROVED_RES
    Since 2016-08-19
  • PA RA
    APPROVED
    Since 2010-06-18

Branch Locations

600 Baltimore Dr, Wilkes Barre, PA 18702 • 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 Wilkes-Barre PA 03/2001 Present
Bank Of America,N.A. Wilkes-Barre PA 06/2011 Present
  • 03/2001 → Present
    Merrill Lynch
    Wilkes-Barre, PA
  • 06/2011 → Present
    Bank Of America,N.A.
    Wilkes-Barre, PA
Other Businesses

I*31271 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SHAPES FITNESS CENTER INVESTMENT RELATED: N ADDRESS OF BUSINESS: 1144 MEMORIAL HIGHWAY, DALLAS, PENNSYLVANIA 18612 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 4/1/2010 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: TEACH SPINNING CLASS AT GYM SPINNING INSTRUCTOR I*31271 For profit or not for profit: For-Profit Organization Name of outside business organization: Big Bear Fitness Center Investment related: N Address of business: 1144 Memorial Highway, Dallas, Pennsylvania 18612 Nature of business: Corporation, Position, title, association: Part-Time, Start date of relationship: 4/1/2010 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Teach spinning class at gym Spinning Instructor I*1826308, Entity Type Entity For Profit, Name of OBA: CY Coastal Living LLC Address: Dallas, Pennsylvania, 18612 Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 06/01/2024 No Hours: 12 yearly No Hours during trading: 1 yearly Duties: Rental Property my responsibility is owner and hiring third party to manage all aspects of the rental transaction and up keep of the property.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-06-26
  • S66 Uniform Combined State Law Examination
    2001-06-26

View on SEC IAPD

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