Best Investors Account Sign in
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2009-01-02
TX RA APPROVED 2009-01-02
  • NJ RA
    APPROVED
    Since 2009-01-02
  • TX RA
    APPROVED
    Since 2009-01-02

Branch Locations

51 John F Kennedy Pkwy, Short Hills, NJ 07078 • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Short Hills NJ 01/2009 Present
Bank Of America, N.A. Short Hills NJ 07/2011 Present
Previous Registrations
  • 2007-04-02 → 2009-01-06
    Morgan Stanley & Co. Llc
    Short Hills, NJ
  • 2002-05-16 → 2007-04-02
    Morgan Stanley Dw Inc.
    Short Hills, NJ
    Short Hills, NJ
Other Businesses

I*38228 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: FRIENDLY SONS OF ST. PATRICK OF THE JERSEY SHORE INVESTMENT RELATED: N ADDRESS OF BUSINESS: P.O. BOX 254, SPRING LAKE, NEW JERSEY 7762 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 1/24/2011 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: WE RAISE MONEY TO AWARD SCHOLARSHIPS TO INDIVIDUALKS OF IRISH DESCENT.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-08-29
  • S66 Uniform Combined State Law Examination
    2000-08-29

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Short Hills, NJ

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor