Andrew Kenneth Pleat

Current Employers

Employment History

• 08/2012 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Sarasota Springs, NY
• 10/2012 → Present
  Bank Of America Na
  Saratoga Springs, NY

Previous Registrations

• 2009-06-19 → 2012-08-20
  Ubs Financial Services Inc.
  Albany, NY

Other Businesses

I*1316270 For profit or not for profit: Entity Charitable Name of outside business organization: The Wesley Foundation Inc. Investment related: N Address of business: OBA, OBA, OBA Nature of business: ["Charitable Organization"] Position, title, association: ["Board Member"], Start date of relationship: 9/1/2023 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , The Wesley Foundation Board is the entity I am looking to join. The Wesley Community accomplishes its mission through independent and assisted living options, affordable housing, long-term nursing care, short-term rehabilitation and home care services, and is here for all members of the community when needed. Wesley is home to more than 700 residents, and our staff of more than 600 is committed to providing quality care and a compassionate atmosphere for our residents, clients and families who need our help. The Foundation Board makes sure the greater Saratoga community is aware of the needs of the Wesley Community and its residents. As a board member I will attend bi-monthly board meetings, make charitable contributions as I see fit and keep the greater community informed of Wesley's needs.

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-07-17
• S63 Uniform Securities Agent State Law Examination
  2000-05-05