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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
TX RA APPROVED 2018-10-16
CT RA APPROVED 2018-09-21
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED
    Since 2018-10-16
  • CT RA
    APPROVED
    Since 2018-09-21

Branch Locations

Matinecock, NY • United States

1325 Franklin Ave, Garden City, NY 11530 • 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 Garden City NY 08/2011 Present
Bank Of America, N.A. Garden NY 07/2018 Present
Other Businesses

I*2163257, Entity Type: , Name of OBA: D W C M FAMILY TRUST , Address: Matinecock, New York, 11560, Investment Related: N, Position, Title, Association: Co-Trustee, Employee State Date: 13-Jan-2025, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-09-20
  • S66 Uniform Combined State Law Examination
    2018-09-20

View on SEC IAPD

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