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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
DE RA APPROVED 2013-01-18
TX RA APPROVED_RES 2013-01-10
PA RA APPROVED 2010-06-25
CT RA APPROVED 2007-03-09
  • DE RA
    APPROVED
    Since 2013-01-18
  • TX RA
    APPROVED_RES
    Since 2013-01-10
  • PA RA
    APPROVED
    Since 2010-06-25
  • CT RA
    APPROVED
    Since 2007-03-09

Branch Locations

2951 Centerville Rd, Wilmington, DE 19808 • United States

One Bryant Park Investment Solutions Group, New York, NY 10036 • United States

Wilmington, DE • 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 New Haven CT 11/2006 Present
Other Businesses

I. 1.FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION 2.NAME OF OUTSIDE BUSINESS ORGANIZATION: BAGDON GLOBAL HOLDINGS, LLC 3.INVESTMENT RELATED: N 4.ADDRESS OF BUSINESS: 2614 CROSSGATES DR, WILMINGTON, DELAWARE 19808 6.POSITION, TITLE, ASSOCIATION: OWNER, 7.START DATE OF RELATIONSHIP: 1/1/2006 8.NUMBER OF HOURS DEVOTED: 2 HOUR(S) QUARTERLY 9.NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 10.DUTIES: OWNER, BOARD MEMBER FAMILY RUN BUSINESS PROVIDES RENTAL PROPERTIES, PLANT NURSERY/LANDSCAPING, SALES OF EXTERIOR STRUCTURES SUCH AS SHEDS/SWING SETS, CUSTOM TEXTILES, CRAFTS, EDUCATIONAL PROGRAMS, AND BAKED GOODS. II. THE FOLLOWING INFORMATION IS LISTED FOR INFORMATIONAL PURPOSES. I AM NOT CURRENTLY ENGAGED IN ANY OF THE COMPANIES BELOW, NOR ARE ANY OF THEM INVESTMENT RELATED. NAMES: AZIMUTH ADVISORY PARTNERS, LLC, BAGDON ENTERPRISES, LLC, INDEPENDENT AMERICAN, LLC INVESTMENT RELATED: NO ADDRESS: 180 LINDEN ST, H-1 NEW HAVEN, CT 06511 NATURE: CONSULTING/EDUCATION YOUR POSITION, TITLE, ASSOCIATION: PRESIDENT START DATE: 2003 NUMBER OF HOURS DEVOTED PER MONTH:0 NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 0 DUTIES: NONE THE COMPANIES ARE DEFUNCT AND ARE BEING CLOSED. IN ADDITION, I AM A FOUNDER AND FORMER OFFICER OF MY SPOUSE'S COMPANY, BAGDON GLOBAL RESEARCH, WHICH PROVIDES EDUCATIONAL ACTIVITIES IN THE THIRD WORLD.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-03-08
  • S66 Uniform Combined State Law Examination
    2007-03-08

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