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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 2010-01-15
TX RA APPROVED 2010-01-15
  • NJ RA
    APPROVED
    Since 2010-01-15
  • TX RA
    APPROVED
    Since 2010-01-15

Branch Locations

1100-1800 American Blvd Retirement & Personal Wealth Solutions, Pennington, NJ 08534 • United States

100 Federal St Retirement & Personal Wealth Solutions, Boston, MA 02110 • 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. Pennington NJ 05/2000 Present
  • 05/2000 → Present
    Merrill Lynch, Pierce, Fenner & Smith Inc.
    Pennington, NJ
Previous Registrations
Other Businesses

I*2014273, Entity Type Entity Charitable, Name of OBA: Bolton Youth Soccer Association Address: BoltonMassachusetts01740 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 09/19/2024No Hours: 1 monthly No Hours during trading: 0 Duties: Board member / age coordinator As age coordinator I'm responsible to ensure the athletes in grades 7 & 8 are appropriately assigned to teams. As a board member, responsibilities include upholding the rules of BYSA, Voting on BYSA matters such as the need for equipment replacement, events, operating needs etc.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-05-20
S63 Uniform Securities Agent State Law Examination 1999-11-20
  • S66 Uniform Combined State Law Examination
    2008-05-20
  • S63 Uniform Securities Agent State Law Examination
    1999-11-20

View on SEC IAPD

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