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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2009-10-23
  • CT RA
    APPROVED
    Since 2009-10-23

Branch Locations

1 Gorham Island Rd, Westport, CT 06880 • United States

300 Broadhollow Rd, Melville, NY 11747 • 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
Bank Of America N.A Greenwich CT 08/2007 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Greenwich CT 10/2009 Present
Previous Registrations
  • 2008-01-30 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Greenwich, CT
    Greenwich, CT
Other Businesses

I*95152 For profit or not for profit: Non-Profit Organization Name of outside business organization: Mercy Learning Center of Bridgeport Investment related: N Address of business: 637 Park Avenue, Bridgeport, Connecticut 6605 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 9/6/2016 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Mercy Learning Center provides basic literacy and life skills training to low income women using a holistic approach within a compassionate , supportive environment.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-01-28
  • S66 Uniform Combined State Law Examination
    2008-01-28
Other Names
  • Bob Haskins

View on SEC IAPD

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