Nicholas A Peterson

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2012-08-09
MD	RA	APPROVED	2011-11-30

TX RA
APPROVED

Since 2012-08-09
MD RA
APPROVED

Since 2011-11-30

Branch Locations

1 Park Pl, Annapolis, MD 21401 • United States

Disclosures

1 disclosure category 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 No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Bowie	MD	09/2011	Present
Bank Of America, N.A.	Annapolis	MD	02/2012	Present

09/2011 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Bowie, MD
02/2012 → Present

Bank Of America, N.A.

Annapolis, MD

Other Businesses

I*2175336, Entity Type: Entity For Profit, Name of OBA: Second Breakfast LLC, Address: Annapolis, Maryland, 21409, Investment Related: N, Position, Title, Association: Owner, Employee State Date: 02/01/2025, No Hours: 2 Monthly, No Hours during Trading: 0 Monthly, Duties: Holding entity for privately held stock in operating business Aloha Plumbing. Silent investment partner providing capital and strategic guidance. I*3034275 Entity Type: Entity Charitable Name of OBA: M Club Foundation Address: College Park, Maryland, 20742 Investment Related: No Position, Title, Association: Committee Employee Start Date: 10/27/2025 Number of Hours: 4, Yearly Number of Hours during trading: 0, Yearly Duties: Beneficial organization supporting former athletic letterwinners from the University of Maryland Participation on a finance committee to provide input on fundraising, events, budgeting, and opportunities for additional revenue generation.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-11-28

S66 Uniform Combined State Law Examination

2011-11-28