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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 2018-01-04
FL RA APPROVED 1999-11-08
  • TX RA
    APPROVED_RES
    Since 2018-01-04
  • FL RA
    APPROVED
    Since 1999-11-08

Branch Locations

660 Beachland Blvd, Vero Beach, FL 32963 • 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
Merrill Lynch, Pierce, Fenner & Smith, Inc. Vero Beach FL 08/1998 Present
  • 08/1998 → Present
    Merrill Lynch, Pierce, Fenner & Smith, Inc.
    Vero Beach, FL
Other Businesses

I*31150 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: MARICK BUILDERS, INC. INVESTMENT RELATED: N ADDRESS OF BUSINESS: VERO BEACH, FLORIDA 32960 NATURE OF BUSINESS: S-CORP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 6/1/2005 NUMBER OF HOURS DEVOTED: 32 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: OWNER/OFFICER I*31151 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SMITH FAMILY FOUNDATION; VERO BEACH, FL INVESTMENT RELATED: N ADDRESS OF BUSINESS: SEBASTIAN, FLORIDA 32958 NATURE OF BUSINESS: OTHER,FOUNDATION POSITION, TITLE, ASSOCIATION: OFFICER, START DATE OF RELATIONSHIP: 8/11/2014 NUMBER OF HOURS DEVOTED: 1 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: CHARITABLE FOUNDATION PRESIDENT/TREASURER NOT MAKING INVESTMENT DECISIONS I*413040, Entity Type:Entity Charitable, Name of OBA:THE MJ AND ABS FOUNDATION, INC Address:Vero Beach, FL Investment Related: No Position, Title, Association: Officer Employee Start Date:03/20/2015 No Hours: No Hours during trading: Duties:Charitable Foundation President/Treasurer NOT making investment decisions

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-12-15
  • S63 Uniform Securities Agent State Law Examination
    1999-12-15
Other Names
  • Maria Christina Ward

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