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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 2013-06-24
CT RA APPROVED 2013-01-03
  • TX RA
    APPROVED
    Since 2013-06-24
  • CT RA
    APPROVED
    Since 2013-01-03

Branch Locations

9 Melrose Dr, Farmington, CT 06032 • 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 Hartford CT 04/2011 Present
Other Businesses

I*1524265For profit or not for profit: Entity For ProfitName of outside business organization: Handmade Beadz and TreasuresInvestment related: NAddress of business: Colchester, Connecticut, 06415, United StatesNature of business: ["Sole Proprietorship"]Position, title, association: ["Owner"], Start date of relationship: 10/9/2023Number of hours devoted: 10 hour(s) WeeklyNumber of hours devoted during trading hours: 0Duties: , Handmade Jewelry, Garden Stakes, bags, scarves and quilts I*3009269, Entity Type: , Name of OBA: Tranont, Address: Lehi, Utah, 84043, Investment Related: N, Position, Title, Association: member , Employee State Date: 10/14/2025, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties: ordering for my own use. I became a member of this business for personal use of one of their supplements. This is for personal use and i am not selling or sharing with anyone. Their membership just switched so that it does give access to sell to others. Selling is not my intent.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-12-28
S63 Uniform Securities Agent State Law Examination 2009-04-27
  • S66 Uniform Combined State Law Examination
    2012-12-28
  • S63 Uniform Securities Agent State Law Examination
    2009-04-27

View on SEC IAPD

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