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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 2007-11-01
CT RA APPROVED 2006-09-08
  • TX RA
    APPROVED
    Since 2007-11-01
  • CT RA
    APPROVED
    Since 2006-09-08

Branch Locations

25 Burlington Mall Rd, Burlington, MA 01803 • 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 Burlington MA 09/2006 Present
Bank Of America,Na Burlington MA 09/2009 Present
  • 09/2006 → Present
    Merrill Lynch, Pierce, Fenner & Smith
    Burlington, MA
  • 09/2009 → Present
    Bank Of America,Na
    Burlington, MA
Other Businesses

I*2188306, Entity Type: Entity For Profit, Name of OBA: Alfajor, S.A., Address: La Antigua, , Guatemala, Investment Related: N, Position, Title, Association: Owner, Employee State Date: 02/12/2025, No Hours: 10 Yearly, No Hours during Trading: 0 Yearly, Duties: To limit liability from our home and automobile in Guatemala.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-10-06
S65 Uniform Investment Adviser Law Examination 2004-03-18
S63 Uniform Securities Agent State Law Examination 2003-03-31
  • S66 Uniform Combined State Law Examination
    2006-10-06
  • S65 Uniform Investment Adviser Law Examination
    2004-03-18
  • S63 Uniform Securities Agent State Law Examination
    2003-03-31

View on SEC IAPD

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