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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
CT RA APPROVED 2011-06-22
TX RA APPROVED_RES 2009-05-27
  • NY RA
    APPROVED
    Since 2021-04-19
  • CT RA
    APPROVED
    Since 2011-06-22
  • TX RA
    APPROVED_RES
    Since 2009-05-27

Branch Locations

360 Hamilton Ave, White Plains, NY 10601 • 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 Incorporated : 7691 White Plains NY 12/2008 Present
Bank Of America, Na White Plains NY 09/2009 Present
  • 12/2008 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    White Plains, NY
  • 09/2009 → Present
    Bank Of America, Na
    White Plains, NY
Other Businesses

I*: 2256290 Entity Type: HOA, Co-op, Freehold Name of OBA: Kudder Island Colony Address: RYE, NY 10580 Investment Related: No Position, Title, Association: Board member Employee Start Date: 05/06/2025 Number of Hours: 8 hrs mthly Number of Hours during trading: 0 Duties: Possible board of directors election for seasonal residence co-op community. Attend monthly meetings, assist planning for property needs. I already own a unit on the property itself and use it as a weekend retreat.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-06-20
  • S66 Uniform Combined State Law Examination
    2011-06-20

View on SEC IAPD

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