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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2024-01-26
TX RA APPROVED_RES 2023-10-30
  • MD RA
    APPROVED
    Since 2024-01-26
  • TX RA
    APPROVED_RES
    Since 2023-10-30

Branch Locations

11810 Grand Park Ave, North Bethesda, MD 20852 • 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 No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lombard Securities Incorporated Rockville MD 02/2016 09/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated North Bethesda MD 09/2023 Present
Bank Of America, N.A. North Bethesda MD 10/2023 Present
Previous Registrations
Other Businesses

I*2227325, Entity Type: , Name of OBA: Parkside Condominiums Bethesda MD, Address: Bethesda, Maryland, 20814, Investment Related: N, Position, Title, Association: ["Board Member"], Employee State Date: 03/13/2024, No Hours: 5 Weekly, No Hours during Trading: 2 Weekly, Duties: The affairs of Parkside Condominium's Council of Unit Owners are governed by a five-member Board of Directors established in accordance with the Bylaws of the condominium. A Board member's term of office is two years.The Board of Directors is responsible for the administration and maintenance of the condominium association. With the exception of formulating rules and regulations respecting the use of individual units (i.e., noise, pets, professional activities, etc.), the Board's activities are limited to matters which are of common concern to all unit owners or which affect the building themselves. Problems within each individual unit are the concern of the unit owner.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-01-09
S63 Uniform Securities Agent State Law Examination 2006-07-26
  • S65 Uniform Investment Adviser Law Examination
    2021-01-09
  • S63 Uniform Securities Agent State Law Examination
    2006-07-26
Other Names
  • Syed Abdul Rumin

View on SEC IAPD

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