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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 2013-10-16
RI RA APPROVED 2013-08-27
  • TX RA
    APPROVED_RES
    Since 2013-10-16
  • RI RA
    APPROVED
    Since 2013-08-27

Branch Locations

3400 Pawtucket Ave Central Business Review Unit, Riverside, RI 02915 • United States

1100-1800 American Blvd Central Business Review Unit, Pennington, NJ 08534 • United States

Sutton, MA • 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 Lincoln RI 10/2009 Present
Other Businesses

I*118490 For profit or not for profit: Non-Profit Organization Name of outside business organization: American Legion Investment related: No Address of business: Sutton, Massachusetts 01590 Nature of business: Charitable Organization, Position, title, association: Officer, I volunteer to help both active / retired veterans Start date of relationship: 6/1/2018 Number of hours devoted: 6 hours Monthly Number of hours devoted during trading hours: 0 Duties: The American Legion was chartered and incorporated by Congress in 1919 as a patriotic veterans organization devoted to mutual helpfulness. It is the nation s largest wartime veterans service organization, committed to mentoring youth and sponsorship. I*4503276 Entity Type: Charitable Name of OBA: American Legion Address: Sutton, Massachusetts, 1590 Investment Related: No Position, Title, Association: Other Employee Start Date: 05/05/2026 Number of Hours: 4, Monthly Number of Hours during trading: 0 Duties: The American Legion Auxiliary is to support The American Legion and to honor the sacrifice of those who serve by enhancing the lives of our veterans, military, and their families, both at home and abroad. We advocate for veterans, educate our citizens, mentor youth, and promote patriotism, good citizenship, peace and security. I have been asked to be the Historian for the American Legion Auxiliary for this Post. The Historian's purpose is to accurately record the accomplishments and significant events that occur at the unit level during the course of the historian's term.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-08-26
S63 Uniform Securities Agent State Law Examination 2005-11-11
  • S66 Uniform Combined State Law Examination
    2013-08-26
  • S63 Uniform Securities Agent State Law Examination
    2005-11-11
Other Names
  • Nicole A Pannell

View on SEC IAPD

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