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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 2018-03-16
MD RA APPROVED 2015-07-29
  • TX RA
    APPROVED_RES
    Since 2018-03-16
  • MD RA
    APPROVED
    Since 2015-07-29

Branch Locations

901 Dulaney Valley Rd, Towson, MD 21204 • United States

Columbia, MD • 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 Yes
  • 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 Bethesda MD 02/2015 Present
Bank Of America, N.A. Bethesda MD 05/2015 Present
Other Businesses

I*80808 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: WAVERLY WOODS GOLF COURSE INVESTMENT RELATED: N ADDRESS OF BUSINESS: MARRIOTTSVILLE, MARYLAND 21104 NATURE OF BUSINESS: OTHER,GOLF INSTRUCTOR POSITION, TITLE, ASSOCIATION: OTHER, FINANCIAL ADVISOR START DATE OF RELATIONSHIP: 1/1/2011 NUMBER OF HOURS DEVOTED: 25 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: GOLF INSTRUCTOR-TEACH ASPIRING GOLFERS

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-07-23
  • S66 Uniform Combined State Law Examination
    2015-07-23

View on SEC IAPD

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