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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_RES 2013-08-26
NJ RA APPROVED 2013-08-23
  • TX RA
    APPROVED_RES
    Since 2013-08-26
  • NJ RA
    APPROVED
    Since 2013-08-23

Branch Locations

1700 State Route 23, Wayne, NJ 07470 • 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 Florham Park NJ 08/2013 Present
Bank Of America, N.A. Florham Park NJ 09/2013 Present
Previous Registrations
Other Businesses

I*84309 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: CHRISTOPHER WHITEHOUSE FOUNDATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: STATEN ISLAND, NEW YORK 10314 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 2/2/2015 NUMBER OF HOURS DEVOTED: 3 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: 1 ANNUAL FUNDRAISER EVENT. THE ORGANIZATION MEETS TWICE A YEAR TO DECIDE WHICH HIGH SCHOOL STUDENTS NEED FINANCIAL ASSISTANCE. I AM ONE OF NINE MEMBERS. I*90378 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: THE AIDING MARINES FAMILY FOUNDATION INC INVESTMENT RELATED: N ADDRESS OF BUSINESS: P.O. BOX 60144, STATEN ISLAND, NEW YORK 10306 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: OFFICER, START DATE OF RELATIONSHIP: 7/1/2015 NUMBER OF HOURS DEVOTED: 3 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PROVIDE FINANCIAL SUPPORT FOR VETERANS

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-02-05
S63 Uniform Securities Agent State Law Examination 2007-10-27
  • S66 Uniform Combined State Law Examination
    2010-02-05
  • S63 Uniform Securities Agent State Law Examination
    2007-10-27
Other Names
  • Joseph Andrew Marotta

View on SEC IAPD

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