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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 2012-06-15
MD RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2012-06-15
  • MD RA
    APPROVED
    Since 2009-10-23

Branch Locations

1 Park Pl, Annapolis, MD 21401 • 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 Annapolis MD 10/2009 Present
Bank Of America,N.A. Annapolis MD 06/2011 Present
Previous Registrations
  • 2002-09-23 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Annapolis, MD
    Annapolis, MD
Other Businesses

I*1919295Entity Type: Not for ProfitName of OBA: Light House Homeless Prevention CenterAddress: Annapolis, Maryland, 21401Investment Related: NoPosition, Title, Association: Employee Start Date: 08/01/2024Number of Hours: 5, MonthlyNumber of Hours during trading: 3, MonthlyDuties: Homeless prevention non-voting board member

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-09-20
  • S66 Uniform Combined State Law Examination
    2002-09-20

View on SEC IAPD

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