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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2007-03-21
TX RA APPROVED 2002-10-24
  • NJ RA
    APPROVED
    Since 2007-03-21
  • TX RA
    APPROVED
    Since 2002-10-24

Branch Locations

530 South Ave W, Westfield, NJ 07090 • United States

Westfield, NJ • 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 Short Hills NJ 06/2001 Present
Bank Of America, N.A. Short Hills NJ 12/2009 Present
Other Businesses

I*36640 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: 2100 BOARDWALK HOLDINGS LLC INVESTMENT RELATED: ADDRESS OF BUSINESS: WILDWOOD NJ 08260 NATURE OF BUSINESS: POSITION, TITLE, ASSOCIATION: FAMILY HELD START DATE OF RELATIONSHIP: 1/1/2010 NUMBER OF HOURS DEVOTED: 0 ANNUALLY HOUR(S) NUMBER OF HOURS DEVOTED DURING TRADING HOURS: DUTIES: MY FATHERS INVESTMENT. ADDED MYSELF AND BROTHER AS PARTNERS FOR ESTATE PLANNING PUROPSES I*106240 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: WESTFIELD FOUNDATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: WESTFIELD, NEW JERSEY 7090 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 5/1/2014 NUMBER OF HOURS DEVOTED: 2 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MEMBER OF THE BOARD OF DIRECTORS. VP OF FOUNDATION I*53551 For profit or not for profit: Non-Profit Organization Name of outside business organization: Lauren Mary Francis Foundation Investment related: Y Address of business: Westfield, New Jersey 7090 Nature of business: Charitable Organization, Position, title, association: Director, Start date of relationship: 2/1/2012 Number of hours devoted: 10 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Raising funds for CDKL5 research I*2154308, Entity Type: , Name of OBA: H G life insurance trust , Address: alantic city , New Jersey, 08401, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 25-Jan-2025, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-08-27
  • S66 Uniform Combined State Law Examination
    2001-08-27

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