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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-06
TX RA APPROVED_RES 2013-09-09
CT RA APPROVED 2010-03-16
  • NY RA
    APPROVED
    Since 2021-04-06
  • TX RA
    APPROVED_RES
    Since 2013-09-09
  • CT RA
    APPROVED
    Since 2010-03-16

Branch Locations

55 Southwestern Dr, Jamestown, NY 14701 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • 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 Jamestown NY 01/2010 Present
Bank Of America, N.A. Jamestown NY 04/2010 Present
Other Businesses

1.FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION 2.NAME OF OUTSIDE BUSINESS ORGANIZATION: PERSONAL GAS WELL ON PERSONAL RESIDENCE PROPERTY 3.INVESTMENT RELATED: N 4.ADDRESS OF BUSINESS: 1441 28TH CREEK RD, KENNEDY, NEW YORK 14747 6.POSITION, TITLE, ASSOCIATION: OTHER, PASSIVE - PROPERTY OWNER 7.START DATE OF RELATIONSHIP: 12/18/2012 8.NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLY 9.NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 10.DUTIES: GAS WELL LOCATED ON NEW RESIDENCE. ANY UNUSED GAS ALLOTTMENT TO HOUSE IS SENT BACK TO PROPERTY OWNER IN FORM OF ROYALTIES. I*91653 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: MICHELE ALEXANDER INVESTMENT RELATED: N ADDRESS OF BUSINESS:, KENNEDY, NEW YORK 14747 NATURE OF BUSINESS: FAMILY BUSINESS, POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 3/19/2016 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: HOBBY FARM ON RESIDENCE. HAY & POSSIBLE BEEF COW OR 2 TO RAISE

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-03-15
S63 Uniform Securities Agent State Law Examination 2003-05-16
  • S66 Uniform Combined State Law Examination
    2010-03-15
  • S63 Uniform Securities Agent State Law Examination
    2003-05-16
Other Names
  • Michele Lynn Barber
  • Michele Lynn Barber
  • Michele Lynn Alexander
  • Michele Alexander

View on SEC IAPD

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