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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2020-12-07
TX RA APPROVED 2017-05-10
DC RA APPROVED 2016-11-18
  • VA RA
    APPROVED
    Since 2020-12-07
  • TX RA
    APPROVED
    Since 2017-05-10
  • DC RA
    APPROVED
    Since 2016-11-18

Branch Locations

1800 K St Nw, Washington, DC 20006 • 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 Washington DC 02/2016 Present
Bank Of America, N.A. Washington DC 09/2016 Present
Other Businesses

I*128138For profit or not for profit: Non-Profit OrganizationName of outside business organization: Phillips Andover AcademyInvestment related: NAddress of business:Andover, Massachusetts 01810Nature of business: Other,Alumni AssociationPosition, title, association: Committee Member, Start date of relationship: 1/1/2019Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: Regional Leadership Committee member assisting in their planning of events and activities for fellow alum.I*, Entity Type, Name of OBA: George Mason University Address: Fairfax, Virginia Investment Related: No Position, Title, Board Member Association: Employee Start Date:04/01/2024 No Hours: Monthly No Hours during trading:0 Duties: Educational Concentration of Financial Planning for students seeking career in Wealth Management I*4364266 Entity Type: Entity Charitable Name of OBA: Blood Cancer United Address: Washington, District of Columbia, 20005 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 04/30/2026 Number of Hours: 1, Monthly Number of Hours during trading: 1, Monthly Duties: Awareness and support of blood cancer survivors, families and the community Raise awareness and attend events and board meetings

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-10-24
  • S66 Uniform Combined State Law Examination
    2016-10-24

View on SEC IAPD

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