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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 2023-12-15
CT RA APPROVED 2023-10-03
  • TX RA
    APPROVED
    Since 2023-12-15
  • CT RA
    APPROVED
    Since 2023-10-03

Branch Locations

63 Copps Hill Rd, Ridgefield, CT 06877 • 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
Transamerica Financial Advisors, Inc Flushing NY 06/2023 09/2023
World Financial Group, Inc. Flushing NY 04/2023 09/2023
Unemployed South Salem NY 08/2020 01/2021
Unemployed Ridgefield CT 02/2021 01/2023
Sidoti Amp; Co New York NY 07/2019 07/2020
Unemployed New York NY 01/2019 07/2019
Novalta Capital Management New York NY 11/2015 12/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Southbury CT 09/2023 Present
Bank Of America N.A. Southbury CT 10/2023 Present
  • 06/2023 → 09/2023
    Transamerica Financial Advisors, Inc
    Flushing, NY
  • 04/2023 → 09/2023
    World Financial Group, Inc.
    Flushing, NY
  • 08/2020 → 01/2021
    Unemployed
    South Salem, NY
  • 02/2021 → 01/2023
    Unemployed
    Ridgefield, CT
  • 07/2019 → 07/2020
    Sidoti Amp; Co
    New York, NY
  • 01/2019 → 07/2019
    Unemployed
    New York, NY
  • 11/2015 → 12/2018
    Novalta Capital Management
    New York, NY
  • 09/2023 → Present
    Southbury, CT
  • 10/2023 → Present
    Bank Of America N.A.
    Southbury, CT
Previous Registrations
Other Businesses

I*1525273, Entity Type For Profit, Name of OBA: William Pitt Sotheby's International Realty Address: New Canaan, CT 06840 Investment Related: No Position, Title, Association: Real Estate Agent, Independent Contractor Employee Start Date: 02/2023 No Hours: 0 No Hours during trading: 0 Duties: None, William Pitt Sotheby's will hold my license to prevent if from expiring due to lack of brokerage sponsorship. However, no transaction is allowed. I have no responsibilities except for fulfilling continue education requirements to keep my license.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-07-19
S63 Uniform Securities Agent State Law Examination 2019-10-12
  • S66 Uniform Combined State Law Examination
    2023-07-19
  • S63 Uniform Securities Agent State Law Examination
    2019-10-12
Other Names
  • Isabel Zhu
  • Tianyan Goellner
  • Tianyan Zhu
  • Isabel Zhu

View on SEC IAPD

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