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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 2021-02-16
CT RA APPROVED 2021-01-04
  • TX RA
    APPROVED_RES
    Since 2021-02-16
  • CT RA
    APPROVED
    Since 2021-01-04

Branch Locations

157 Church St, New Haven, CT 06510 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bronxville NY 08/2020 Present
Bank Of America, N.A. Bronxville NY 08/2020 Present
Unemployed Rye NY 11/2019 07/2020
United Parcel Service Norwalk CT 07/2019 10/2019
Momentum Solar Stamford CT 09/2018 06/2019
Catapult Craft Llc Mamaroneck NY 04/2017 09/2018
Manhattan Beer Distributors Bronx NY 10/2010 04/2017
Ups Norwalk CT 07/2019 10/2019
  • 08/2020 → Present
    Bronxville, NY
  • 08/2020 → Present
    Bank Of America, N.A.
    Bronxville, NY
  • 11/2019 → 07/2020
    Unemployed
    Rye, NY
  • 07/2019 → 10/2019
    United Parcel Service
    Norwalk, CT
  • 09/2018 → 06/2019
    Momentum Solar
    Stamford, CT
  • 04/2017 → 09/2018
    Catapult Craft Llc
    Mamaroneck, NY
  • 10/2010 → 04/2017
    Manhattan Beer Distributors
    Bronx, NY
  • 07/2019 → 10/2019
    Ups
    Norwalk, CT
Other Businesses

I*4031265 Entity Type: Rental Property Name of OBA: Rental Property 1 Address: Charleston, South Carolina, 29407 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 11/17/2025 Number of Hours: 1, Weekly Number of Hours during trading: 0 Duties: Rental Property/Co-owner with other family members

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-12-22
  • S66 Uniform Combined State Law Examination
    2020-12-22

View on SEC IAPD

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