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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
FL RA APPROVED 2013-11-21
CT RA APPROVED 2005-04-18
  • NY RA
    APPROVED
    Since 2021-04-19
  • FL RA
    APPROVED
    Since 2013-11-21
  • CT RA
    APPROVED
    Since 2005-04-18

Branch Locations

75 Rockefeller Plz, New York, NY 10019 • 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 New York NY 01/2005 Present
Bank Of America, N.A. New York NY 12/2009 Present
Other Businesses

I*2948281, Entity Type: Entity For Profit, Name of OBA: LANDMARK 1006 LLC, Address: Aventura, Florida, 33180, Investment Related: N, Position, Title, Association: Owner, Employee State Date: 02/25/2025, No Hours: 5 Yearly, No Hours during Trading: 0 Yearly, Duties:regular payments for maintenance and taxes for the property. LLC was opened to hold a vacation property. It is NOT rented, it is for personal use. I*2970268, Entity Type: Entity For Profit, Name of OBA: LANDMARK 1006, LLC , Address: Aventura, Florida, 33180, Investment Related: N, Position, Title, Association: General Partner/Managing Member, Employee State Date: 02/25/2025, No Hours: 20 Yearly, No Hours during Trading: 0 Yearly, Duties: This is a LLC in which I am member and owner. It was constituted to hold a condo in Florida. This will not be rented. I write checks, pay bills related to the condo that is under the LLC. None

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-04-15
  • S66 Uniform Combined State Law Examination
    2005-04-15
Other Names
  • Newton T Hasegawa Jr

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