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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
DC RA APPROVED 2009-10-23
MD RA APPROVED 2009-10-23
VA RA APPROVED 2009-10-23
  • DC RA
    APPROVED
    Since 2009-10-23
  • MD RA
    APPROVED
    Since 2009-10-23
  • VA RA
    APPROVED
    Since 2009-10-23

Branch Locations

8300 Greensboro Dr, Mclean, VA 22102 • United States

620 S Tryon St, Charlotte, NC 28255 • 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
Bank Of America, N.A. Chevy Chase MD 10/2004 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chevy Chase MD 10/2009 Present
Previous Registrations
  • 2007-05-03 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Chevy Chase, MD
Other Businesses

I*631258For profit or not for profit: Entity For ProfitName of outside business organization: Calm Ventures, LLCInvestment related: NAddress of business: Vienna, Virginia, 22182Nature of business: Limited Liability CompanyPosition, title, association: General Partner/Managing MemberStart date of relationship: 12/31/2021Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , Family investment vehicle to hold a single investment (Lumenium, LLC note and eventual equity in the company IF converted). I*: 1990276Entity Type: POAName of OBA: NBGAddress: Rockville, MDInvestment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 07/01/2024Number of Hours: 3 hrs wklyNumber of Hours during trading: 1 hr wkly Duties: serve as POA for his elderly godmother I*5160268, Entity Type: Entity Charitable, Name of OBA: Great Falls Basketball, Address: Great Falls , Virginia, 22066, Investment Related: N, Position, Title, Association: ["Board Member"], Employee Start Date: 08/07/2026, No Hours: 8 Monthly, No Hours during Trading: 0 Monthly, Duties: My role will be as an incoming board member and I will be the board liaison with the Girls league. Their are monthly board meetings and occasional oversight opportunities / requirements. It is a 3 year term. Provides youth basketball programs for children in grades K-12 in the Great Falls community.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-29
S63 Uniform Securities Agent State Law Examination 1999-12-22
  • S66 Uniform Combined State Law Examination
    2007-01-29
  • S63 Uniform Securities Agent State Law Examination
    1999-12-22

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