Benjamin C Smiles

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2015-11-05
CT	RA	APPROVED	2015-10-21

TX RA
APPROVED

Since 2015-11-05
CT RA
APPROVED

Since 2015-10-21

Branch Locations

301 Tresser Blvd, Stamford, CT 06901 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Stamford	CT	05/2015	Present
Bank Of America, N.A.	Stamford	CT	09/2015	Present

05/2015 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Stamford, CT
09/2015 → Present

Bank Of America, N.A.

Stamford, CT

Other Businesses

I*114630 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SMILES MANAGEMENT LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: WESTON, VERMONT 15161 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OTHER, MEMBER START DATE OF RELATIONSHIP: 5/1/2018 NUMBER OF HOURS DEVOTED: 3 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: HOLDS FAMILY VACATION HOME FOR ESTATE PLANNING PURPOSES. MEMBER

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-10-20

S66 Uniform Combined State Law Examination

2015-10-20

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

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