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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2012-11-05
NJ RA APPROVED 2002-05-10
  • TX RA
    APPROVED_RES
    Since 2012-11-05
  • NJ RA
    APPROVED
    Since 2002-05-10

Branch Locations

1415 Hooper Ave, Toms River, NJ 08753 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch Toms River NJ 05/2002 Present
Bank Of America, Na Toms River NJ 09/2009 Present
  • 05/2002 → Present
    Merrill Lynch
    Toms River, NJ
  • 09/2009 → Present
    Bank Of America, Na
    Toms River, NJ
Other Businesses

I*: 2249316Entity Type: CharitableName of OBA: MMCSC FoundationAddress: Long Branch, NJ 07740Investment Related: NoPosition, Title, Association: Board Member Employee Start Date: 5/12/2025Number of Hours: 40hrs annuallyNumber of Hours during trading: 0Duties: Board Member

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-12-29
S63 Uniform Securities Agent State Law Examination 1998-03-18
  • S65 Uniform Investment Adviser Law Examination
    2000-12-29
  • S63 Uniform Securities Agent State Law Examination
    1998-03-18

View on SEC IAPD

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