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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2017-01-03
DE RA APPROVED 2015-12-08
  • PA RA
    APPROVED
    Since 2017-01-03
  • DE RA
    APPROVED
    Since 2015-12-08

Branch Locations

100 Federal St, Boston, MA 02110 • United States

2951 Centerville Rd, Wilmington, DE 19808 • 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 Wilmington DE 07/2015 Present
Bank Of America, N.A. Wilmington DE 07/2015 Present
Other Businesses

I*85294 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: DUCKS UNLIMITED - BRANDYWINE CHAPTER INVESTMENT RELATED: N ADDRESS OF BUSINESS: GREENVILLE, DELAWARE 19807 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 42263 NUMBER OF HOURS DEVOTED: 4 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: BOARD MEMBER

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-12-07
S63 Uniform Securities Agent State Law Examination 2013-05-28
  • S66 Uniform Combined State Law Examination
    2015-12-07
  • S63 Uniform Securities Agent State Law Examination
    2013-05-28

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