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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 2022-11-16
CT RA APPROVED 2022-09-15
  • TX RA
    APPROVED
    Since 2022-11-16
  • CT RA
    APPROVED
    Since 2022-09-15

Branch Locations

301 Tresser Blvd, Stamford, CT 06901 • 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
Mml Investors Services, Llc New York NY 10/2020 08/2022
Mass Mutual Life Insurance Company New York NY 09/2020 08/2022
Lenox Advisors New York NY 09/2020 08/2022
Total Market Research Brooklyn NY 01/2014 09/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Stamford CT 08/2022 Present
Bank Of America, N.A. Stamford CT 09/2022 Present
Previous Registrations
Other Businesses

I* 1824309 For profit or not for profit: Entity Charitable Name of outside business organization: Norfield Children's Center Investment related: no Address of business: Weston, CT, 06883 Nature of business: School, College or University Position, title, association: Board Member Start date of relationship: 08/01/2024 Number of hours devoted: 2 monthly Number of hours devoted during trading hours: 0 Duties: Review the organizations operations, budgets for planning events, plan parent events, review policies/procedures, plan social events

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-02-08
  • S66 Uniform Combined State Law Examination
    2021-02-08
Other Names
  • David Sarver

View on SEC IAPD

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