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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 2021-04-19
NJ RA APPROVED 2004-03-09
  • NY RA
    APPROVED
    Since 2021-04-19
  • NJ RA
    APPROVED
    Since 2004-03-09

Branch Locations

7 Roszel Rd, Princeton, NJ 08540 • United States

75 Rockefeller Plz, New York, NY 10019 • 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 New York NY 03/1993 Present
Bank Of America, N.A. New York NY 07/2011 Present
Other Businesses

I*74430 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: BRAINERD-WESTMINSTER CEMETERY INVESTMENT RELATED: Y ADDRESS OF BUSINESS: CRANBURY, NEW JERSEY 08512 POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER START DATE OF RELATIONSHIP: 1/1/2014 NUMBER OF HOURS DEVOTED: 4 HRS MTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: COMMITTEE OVERSEES THE MAINTENANCE AND CARE OF A CHURCH AFFILIATED CEMETERY. MY ROLE IS TO AID IN THE OVERSIGHT OF FINANCES AND INVESTMENTS. I*74426 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: FIRST PRESBYTERIAN CHURCH OF CRANBURY INVESTMENT RELATED: Y ADDRESS OF BUSINESS: CRANBURY, NEW JERSEY 08512 POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 1/1/2013 NUMBER OF HOURS DEVOTED: 10 HRS MTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: SERVING ELDER (I.E. MEMBER OF BOARD OF TRUSTEES). CHAIR OF STEWARDSHIP & FINANCE COMMITTEE I*93987 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: 101: THE FUND BEGINS HERE INVESTMENT RELATED: N ADDRESS OF BUSINESS:PRINCETON, NEW JERSEY 08540 POSITION, TITLE, ASSOCIATION: DIRECTOR START DATE OF RELATIONSHIP: 5/1/2011 NUMBER OF HOURS DEVOTED: 3 HRS MTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: TO RAISE FUNDS TO BE USED FOR FINANCIAL NEED SCHOLARSHIPS FOR COLLEGE BOUND GRADUATES OF PRINCETON HIGH SCHOOL. I*106726 For profit or not for profit: Non-Profit Organization Name of outside business organization: Cranbury Presbyterian Nursery School Investment related: Y Address of business: Cranbury, New Jersey 08512 Position, title, association: Advisory Board Member Start date of relationship: 6/15/2017 Number of hours devoted: 2 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: Oversight of School's investment account. I*74430 For profit or not for profit: Non-Profit Organization Name of outside business organization: Brainerd-Westminster Cemetery Investment related: Y Address of business: Cranbury, New Jersey 08512 Position, title, association: Committee Member Start date of relationship: 1/1/2014 Number of hours devoted: 4 hrs Mthly Number of hours devoted during trading hours: 0 Duties: Committee oversees the maintenance and care of a church affiliated cemetery. My role is to aid in the oversight of finances and investments. I*802275, Entity Type: Charitable, Name of OBA: Presbytery of the Coastlands, Address: Hightstown, New Jersey, 08520, Investment Related: N, Position, Title, Association: Committee, Board Member, Employee State Date: 04/11/2022, No Hours: 8 Monthly, No Hours during Trading: 0 Duties: Member of Finance Committee, State wide collaborative body comprised of Presbyterian churches to oversee and assist churches. I*4084270 Entity Type: Charitable Name of OBA: Johnsonburg Camp & Retreat Center Address: Johnsonburg, New Jersey, 7825 Investment Related: Yes Position, Title, Association: Committee, Board Member Employee Start Date: 04/01/2026 Number of Hours: 2, Monthly Number of Hours during trading: 0 Duties: In 1959, Johnsonburg Camp & Retreat Center was established to provide experiential Christian education in support of the Presbyterian Church in New Jersey. Johnsonburg today continues to be a place set apart that cares for creation, builds community, values diversity, and facilitates personal and spiritual growth. Board Member, Member of Finance Committee

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-02-04
  • S66 Uniform Combined State Law Examination
    2004-02-04
Other Names
  • Kenneth Gordon
  • Ken Gordon

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