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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 2009-06-16
CT RA APPROVED 2007-12-14
  • TX RA
    APPROVED
    Since 2009-06-16
  • CT RA
    APPROVED
    Since 2007-12-14

Branch Locations

27 Coogan Blvd, Mystic, CT 06355 • 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 New York NY 03/2007 Present
Bank Of America, N.A. New London CT 05/2011 Present
  • 03/2007 → Present
    Merrill Lynch, Pierce, Fenner & Smith
    New York, NY
  • 05/2011 → Present
    Bank Of America, N.A.
    New London, CT
Other Businesses

I*4922270, Entity Type: , Name of OBA: J J. P Revocable Trust, Address: Bennington, Nebraska, 68007, Investment Related: N, Position, Title, Association: Successor Trustee, Employee Start Date: 07/09/2031, No Hours: 12 Yearly, No Hours during Trading: 12 Yearly, Duties: I*4922272, Entity Type: , Name of OBA: L K. P Revocable Trust, Address: Bennington, Nebraska, 68007, Investment Related: N, Position, Title, Association: Successor Trustee, Employee Start Date: 07/09/2031, No Hours: 12 Yearly, No Hours during Trading: 12 Yearly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-12-11
  • S66 Uniform Combined State Law Examination
    2007-12-11

View on SEC IAPD

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