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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 2024-09-05
TX RA APPROVED 2024-09-05
RI RA APPROVED 2023-12-22
  • CT RA
    APPROVED
    Since 2024-09-05
  • TX RA
    APPROVED
    Since 2024-09-05
  • RI RA
    APPROVED
    Since 2023-12-22

Branch Locations

1100-1800 American Blvd Ci Client Services, Pennington, NJ 08534 • United States

3400 Pawtucket Ave Ci Client Services, 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
Other Businesses

I*4509270, Entity Type: , Name of OBA: Republican Town Committee, Bridgewater, MA, Address: Bridgewater, Massachusetts, 02324, Investment Related: N, Position, Title, Association: Committee, Employee Start Date: 04/24/2025, No Hours: 30 Monthly, No Hours during Trading: 0 Monthly, Duties: I was nominated by one of the Committee members to serve as Vice Chair; a motion was made to second the nomination, then approved by the rest of the committee. The committee generally meets once per month for approximatley 2 hours. As a committee member, I contribute annual dues and am able to vote on how funds are used. Recent examples of fund appropriation would be approval of a spot in the town parades or a booth and a town event such as Autumn Fest. The purpose of the committee is to discuss local/state issues and may result in the endorsement of a local/state candidate. As Vice Chair, my primary duty is to run the meetings in the abscence of the committee Chair.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-12-21
S63 Uniform Securities Agent State Law Examination 1997-10-16
  • S66 Uniform Combined State Law Examination
    2023-12-21
  • S63 Uniform Securities Agent State Law Examination
    1997-10-16
Other Names
  • John E Donna

View on SEC IAPD

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