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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 2024-08-20
NY RA APPROVED 2021-04-19
  • TX RA
    APPROVED
    Since 2024-08-20
  • NY RA
    APPROVED
    Since 2021-04-19

Branch Locations

110 N Wacker Dr Division - Central, Chicago, IL 60606 • United States

Oceanside, NY • United States

One Bryant Park Division - Northeast, New York, NY 10036 • 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 Hewlett NY 11/2010 Present
Previous Registrations
Other Businesses

I*393296For profit or not for profit: Entity For Profit Name of outside business organization: Customs2Dye4 Investment related: No Address of business: Oceanside, New York, 11572Nature of business: ["Sole Proprietorship"]Position, title, association: Owner, Start date of relationship: 11/12/2018Number of hours devoted: 10 hours Monthly Number of hours devoted during trading hours: 0 Duties: Making homemade crafts and holiday gifts - direct sales - sole prop reporting under TIN I*1482292, Entity Type Entity Charitable, Name of OBA: Literacy Nassau Address: Wantagh New York 11793 Investment Related: No Position, Title, Association: Treasurer, Board Member Employee Start Date:10/01/2023 No Hours: 4 monthly No Hours during trading: 0 Duties: Board member and Treasurer with Literacy Nassau. A not for profit organization that provides literacy services to disadvantages populations. I*2033269, Entity Type Fiduciary, Name of OBA: M J G and M G Living Trust Address: Oceanside, New York, 11572 Investment Related: No Position, Title, Association: Successor Trustee Employee Start Date: Oct-04-2024 No Hours: 0 No Hours during trading: 0 Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-06-12
  • S66 Uniform Combined State Law Examination
    2008-06-12

View on SEC IAPD

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