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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
RI RA APP_PEND_IARCE 2026-01-01
CT RA APPROVED 2023-06-28
TX RA APPROVED_RES 2023-06-27
  • RI RA
    APP_PEND_IARCE
    Since 2026-01-01
  • CT RA
    APPROVED
    Since 2023-06-28
  • TX RA
    APPROVED_RES
    Since 2023-06-27

Branch Locations

3400 Pawtucket Ave Ci Relationship Management, Riverside, RI 02915 • 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 Lincoln RI 10/2009 Present
Bank Of America, N.A. Lincoln RI 12/2013 Present
Other Businesses

(1)I AM IN THE US ARMY RESERVE. I WORK APPROX 20 HOURS PER MONTH. (2)1.FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION 2.NAME OF OUTSIDE BUSINESS ORGANIZATION: PERSONAL BEST FITNESS COACHING 3.INVESTMENT RELATED: N 4.ADDRESS OF BUSINESS: MATTAPAN, MASSACHUSETTS 2126 6.POSITION, TITLE, ASSOCIATION: OWNER, 7.START DATE OF RELATIONSHIP: 4/1/2013 8.NUMBER OF HOURS DEVOTED: 100 HOUR(S) ANNUALLY 9.NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 10.DUTIES: PROVIDES FITNESS COACHING TO INDIVIDUALS 11.PROVIDES GROUP FITNESS CLASSES. I*1320 FOR PROFIT OR NOT FOR PROFIT: GOVERNMENTAL OR PUBLIC PURPOSE ENTITY NAME OF OUTSIDE BUSINESS ORGANIZATION: US ARMY RESERVE INVESTMENT RELATED: N ADDRESS OF BUSINESS: FT DEVENS, MASSACHUSETTS 1434 NATURE OF BUSINESS: US ARMY SOLDIER, POSITION, TITLE, ASSOCIATION: HUMAN RESOURCE MANAGER, START DATE OF RELATIONSHIP: 1/19/1987 NUMBER OF HOURS DEVOTED: 60 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1200 DUTIES: HUMAN RESOURCES AND NATIONAL SECURITY CLEARANCE I*41897 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: UNITED STATES ARMY RESERVE INVESTMENT RELATED: N ADDRESS OF BUSINESS: LONDONDERRY, NEW HAMPSHIRE 60303 NATURE OF BUSINESS: OTHER,US ARMY RESERVE POSITION, TITLE, ASSOCIATION: OTHER, HUMAN RESOURCE MANAGER START DATE OF RELATIONSHIP: 2/1/2008 NUMBER OF HOURS DEVOTED: 16 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 500 DUTIES: TRAINER, DRILL INSTRUCTOR, SERGEANT FIRST CLASS, HUMAN RESOURCE MANAGER

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-03-13
S63 Uniform Securities Agent State Law Examination 1996-09-23
  • S66 Uniform Combined State Law Examination
    2017-03-13
  • S63 Uniform Securities Agent State Law Examination
    1996-09-23

View on SEC IAPD

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