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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_RES 2022-01-26
CT RA APPROVED 2018-05-14
  • TX RA
    APPROVED_RES
    Since 2022-01-26
  • CT RA
    APPROVED
    Since 2018-05-14

Branch Locations

29 S Main St, West Hartford, CT 06107 • United States

115 W Century Rd, Paramus, NJ 07652 • 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 Hartford CT 06/2013 Present
Bank Of America, N.A. Hartford CT 06/2018 Present
Other Businesses

I*454383, Entity Type Entity For Profit, Name of OBA: 139 Broad Street, LLC Address: Windsor, CT 06095 Investment Related: No Position, Title, Association: Other Employee Start Date: 08/08/2017 No Hours:0 yearly No Hours during trading: 0 yearly Duties: I have no responsibilities, as this business is operating without any work effort on my part. This is part of a family business, listed as an LLC, in which I derive no income. For estate planning purposes, my name was added as a principal.I* 1815395For profit or not for profit: Entity CharitableName of outside business organization: Civitan Club of Windsor Conn, Inc.Investment related: noAddress of business: Windsor, CT, 06095Nature of business: Charitable OrganizationPosition, title, association: CommitteeStart date of relationship: 05/01/2020Number of hours devoted: 1 yearlyNumber of hours devoted during trading hours: 0Duties: Limited to winding down the current non-profit and ending the LLC I*1815397, Entity Type,Entity For Profit Name of OBA: Plaza Holdings LLC Address:Windsor, CT 06095 Investment Related: No Position, Title, Association:Other Employee Start Date: 08/07/19 No Hours: 1 No Hours during trading:1 Duties:This is a family real estate holding LLC, in which I am a member, but hold no role, office, or decision making.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-05-11
  • S66 Uniform Combined State Law Examination
    2018-05-11
Other Names
  • Neill Kishore Sachdev
  • Neill K Sachdev

View on SEC IAPD

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