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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2025-03-31
TX RA APPROVED_RES 2015-01-29
CT RA APPROVED 2010-09-10
  • CO RA
    APPROVED
    Since 2025-03-31
  • TX RA
    APPROVED_RES
    Since 2015-01-29
  • CT RA
    APPROVED
    Since 2010-09-10

Branch Locations

29 S Main St, West Hartford, CT 06107 • United States

1414 Main St, Springfield, MA 01144 • United States

Amherst, MA • 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, Inc. Hartford, CT 09/2010 Present
Bank Of America, N.A. Springfield MA 06/2011 Present
  • 09/2010 → Present
    Merrill Lynch, Pierce, Fenner & Smith, Inc.
    Hartford,, CT
  • 06/2011 → Present
    Bank Of America, N.A.
    Springfield, MA
Previous Registrations
Other Businesses

I*941265, Name of OBA: Rental Property 1 Address: hadley, MA Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 8/1/2022 No Hours: 0 Yearly No Hours during trading: 0 Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-01-03
  • S66 Uniform Combined State Law Examination
    2008-01-03
Other Names
  • David F Farnham

View on SEC IAPD

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