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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
NJ RA APPROVED 2009-10-23
  • NY RA
    APPROVED
    Since 2021-04-19
  • NJ RA
    APPROVED
    Since 2009-10-23

Branch Locations

69 State St, Albany, NY 12207 • United States

115 W Century Rd, Paramus, NJ 07652 • 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. Albany NY 03/2006 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Albany NY 10/2009 Present
Previous Registrations
  • 2006-03-23 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Albany, NY
    Albany, NY
Other Businesses

I*3995266 Entity Type: Charitable Name of OBA: Capital City Gospel Mission d/b/a Capital City Rescue Mission Address: Albany, New York, 12202 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 05/01/2026 Number of Hours: 3, Monthly Number of Hours during trading: 0 Duties: Capital City Rescue Mission is dedicated to proclaiming the gospel of Jesus Christ to the homeless and needy of the Capital Region, providing for the whole person - body, mind, and spirit - to help them return to society maturing as productive citizens. The needy are offered meals, shelter, clothing, medical services, Christian recovery programs and Bible study, educational courses, employment counseling, job readiness training, and transitional housing. If approved, as a volunteer Board member, I and the other board members will provide governance and oversight to the organization and to the professional management staff. This would include in person meetings 8-10 times per year to review management prepared budgets/ performance to plan, to join with executive management to set strategic priorities, to establish and review critical policies and procedures and to serve as the authority over the executive director to fill the role if needed and to establish and review compensation package for that role.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-07-20
S66 Uniform Combined State Law Examination 2001-10-11
  • S65 Uniform Investment Adviser Law Examination
    2006-07-20
  • S66 Uniform Combined State Law Examination
    2001-10-11

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