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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 2016-10-25
TX RA APPROVED_RES 2016-10-06
  • CT RA
    APPROVED
    Since 2016-10-25
  • TX RA
    APPROVED_RES
    Since 2016-10-06

Branch Locations

301 Tresser Blvd, Stamford, CT 06901 • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Morgan Stanley & Co., Incorporated Purchase NY 11/2007 09/2016
Morgan Stanley Smith Barney Purchase NY 06/2009 09/2016
Morgan Stanley Private Bank, National Association New York NY 01/2015 09/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated Stamford CT 10/2016 Present
Bank Of America, N.A. Stamford CT 12/2016 Present
  • 11/2007 → 09/2016
    Morgan Stanley & Co., Incorporated
    Purchase, NY
  • 06/2009 → 09/2016
    Morgan Stanley Smith Barney
    Purchase, NY
  • 01/2015 → 09/2016
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 10/2016 → Present
    Stamford, CT
  • 12/2016 → Present
    Bank Of America, N.A.
    Stamford, CT
Previous Registrations
  • 2009-06-01 → 2016-09-14
    Purchase, NY
  • 2008-03-03 → 2009-06-01
    Morgan Stanley & Co. Llc
    Purchase, NY
Other Businesses

I*4643For profit or not for profit: For-Profit OrganizationName of outside business organization: Rental PropertyInvestment related: NAddress of business: Trumbull, CT 06611Nature of business: Rental PropertyPosition, title, association: Owner Start date of relationship: 06/29/2007Number of hours devoted: 1Number of hours devoted during trading hours: 0Duties: Owner I*112915For profit or not for profit: For-Profit OrganizationName of outside business organization: Pootatuck Yacht ClubInvestment related: NAddress of business: Stratford, Connecticut 6615Nature of business: CorporationPosition, title, association: Committee MemberStart date of relationship: 4/10/18Number of hours devoted: 2 hrs QtrlyNumber of hours devoted during trading hours: 0Duties: Private Yacht Club I will serve on the new committee to advise the board on our expense management. I*: 2122260Entity Type: CharitableName of OBA: Habitat for Humanity CFCAddress: Stratford, CT 06615Investment Related: NoPosition, Title, Association: Board Member Employee Start Date: 12/09/2024Number of Hours: 4 hrs mthlyNumber of Hours during trading: 0Duties: building homes for the underserved population Member of the Board I*433361, Entity Type: Entity Charitable, Name of OBA: Catalyst CT, Address: Bridgeport, Connecticut, 06605, Investment Related: N, Position, Title, Association: Board Member, Employee State Date: 14-Jun-2023, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: RYASAP runs programs to help youth at risk, and underprivileged or economically disadvantaged youth and adults I*2483265, Entity Type: Entity Charitable, Name of OBA: Mozaic Senior Life, Address: Bridgeport, Connecticut, 06604, Investment Related: N, Position, Title, Association: Board Member, Employee State Date: 06/02/2025, No Hours: 2 Monthly, No Hours during Trading: 0 Monthly, Duties: Not-for-profit organization directed to the care and support of seniors and their loved ones in southern CT

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-02-06
  • S66 Uniform Combined State Law Examination
    2008-02-06

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