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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 2017-01-26
MD RA APPROVED 2017-01-24
  • TX RA
    APPROVED
    Since 2017-01-26
  • MD RA
    APPROVED
    Since 2017-01-24

Branch Locations

10320 Little Patuxent Pkwy, Columbia, MD 21044 • 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 Columbia MD 05/2016 Present
Bank Of America, N.A. Columbia MD 11/2021 Present
Other Businesses

I*6129For profit or not for profit: Name of outside business organization: RentalInvestment related: Address of business:Hummelstown, Pennsylvania 17036Nature of business: ,Position, title, association: , Start date of relationship: 6/15/2015Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0I*7645For profit or not for profit: Name of outside business organization: RentalInvestment related: Address of business:Hummelstown, Pennsylvania 17036Nature of business: ,Position, title, association: , Start date of relationship: 2/9/2019Number of hours devoted: 20 hour(s) Number of hours devoted during trading hours: 0Duties:I*10121For profit or not for profit: Name of outside business organization: Deepa MathurInvestment related: Address of business: Hummelstown, Pennsylvania 17036Nature of business: ,Position, title, association: , Start date of relationship: 10/15/2019Number of hours devoted: 4 hour(s) Number of hours devoted during trading hours: 0Duties: I*10122For profit or not for profit: Name of outside business organization: Deepa MathurInvestment related: Address of business:Hummelstown, Pennsylvania 17036Nature of business: ,Position, title, association: , Start date of relationship: 5/15/2020Number of hours devoted: 2 hour(s) Number of hours devoted during trading hours: 0Duties:I*550230For profit or not for profit: Name of outside business organization: Rental Property 1Investment related: NAddress of business: York, Pennsylvania, 17403Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 5/1/2021Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: ,I*1048523For profit or not for profit: Name of outside business organization: Rental Property 2Investment related: NAddress of business: York, Pennsylvania, 17403Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 2/1/2022Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: ,I*1048526For profit or not for profit: Name of outside business organization: Rental Property 4Investment related: NAddress of business: York, Pennsylvania, 17402Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 7/1/2022Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , I*1050258For profit or not for profit: Name of outside business organization: Rental Property 3Investment related: NAddress of business: York, Pennsylvania, 17402Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 7/1/2022Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , I*3061273 Entity Type: N/A Name of OBA:Rental Property 4 Address:York Maryland Investment Related:No Position, Title, Association:Co-owner with other family members Start Date:08/23/2025 No Hours: 5 Monthly No Hours during trading:0 Monthly Duties:N/A

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-01-23
  • S66 Uniform Combined State Law Examination
    2017-01-23

View on SEC IAPD

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