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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2023-03-28
  • CT RA
    APPROVED
    Since 2023-03-28

Branch Locations

1 Financial Plz, Providence, RI 02903 • United States

100 Federal St, Boston, MA 02110 • United States

Sharon, MA • 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 York NY 07/1997 Present
Other Businesses

For profit or not for profit: For Profit Name of outside business organization: 418 Cove LLC Investment related (Y/N): N Address of business: Sharon,MA Nature of business: Rental Position, title, association: Owner Start date of relationship: 8/4/2014 Number of hours devoted: 2 monthly Number of hours devoted during trading hours:0 For profit or not for profit: For Profit Name of outside business organization: 57 Fuller Street LLC Investment related (Y/N): N Address of business: Sharon,MA Nature of business: Rental Position, title, association: Owner Start date of relationship: 8/4/2014 Number of hours devoted: 4 monthly Number of hours devoted during trading hours: 0 I*1685277, Entity Type, Name of OBA: Cambridge Community Foundation Address: Cambridge, MA 02114 Investment Related: N Position, Title, Association: Board Member Employee Start Date: 01/31/2024 No Hours: 2 No Hours during trading: 2 Duties: The Cambridge Community Foundation is the local giving platform supporting our citys shared prosperity, social equity, and culturalrichness, with roots that go a century deep. A civic leader, philanthropic partner, and grant maker, the Foundation highlights emergingand critical needs and catalyzes efforts to ensure resources are focused where they can make the greatest difference.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-03-27
S63 Uniform Securities Agent State Law Examination 1999-11-20
  • S66 Uniform Combined State Law Examination
    2023-03-27
  • S63 Uniform Securities Agent State Law Examination
    1999-11-20
Other Names
  • Frantz Junion Bien-Aime

View on SEC IAPD

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