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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 2014-01-14
CT RA APPROVED 2012-11-30
  • TX RA
    APPROVED_RES
    Since 2014-01-14
  • CT RA
    APPROVED
    Since 2012-11-30

Branch Locations

9 Melrose Dr, Farmington, CT 06032 • 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 Hartford CT 11/2012 Present
Bank Of America, N.A. Hartford CT 12/2012 Present
Previous Registrations
Other Businesses

I*: 2199434 Entity Type: Charitable Name of OBA: Amy's Angels Address: Weatogue, CT 06089 Investment Related: No Position, Title, Association: Committee, Board Member Employee Start Date: 03/01/2025 Number of Hours: 20 hrs annually Number of Hours during trading: 0 Duties: Amy's Angels is a grass roots 501(c)(3) organization that provides comprehensive short and long term assistance to individuals and their families dealing with the debilitating effects of serious illness or injury. The Amy's Angels Young Leaders Advisory Board will help develop outreach strategies tailored to younger demographics, help with fundraising events, make recommendations to the main Board for events and outreach, and help get the story out into the community. There will be multiple meetings throughout the year to coordinate with other members of the Young Leaders Advisory Board and members of the main Board.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-04-08
  • S66 Uniform Combined State Law Examination
    2011-04-08

View on SEC IAPD

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