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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 2012-01-05
CT RA APPROVED 2008-01-04
  • TX RA
    APPROVED_RES
    Since 2012-01-05
  • CT RA
    APPROVED
    Since 2008-01-04

Branch Locations

108 Main St N, Southbury, CT 06488 • 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 Southbury CT 12/2003 Present
Bank Of America, N.A. Southbury CT 11/2011 Present
Other Businesses

FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: BNI (BUSINESS NETWORKING INTERNATIONAL) INVESTMENT RELATED: N ADDRESS OF BUSINESS: UPLAND, CALIFORNIA 91786 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: OTHER, VP - NETWORKING START DATE OF RELATIONSHIP: 10/1/2013 NUMBER OF HOURS DEVOTED: 4 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS STRICTLY A NETWOKRING/REFERRAL GROUP I*96631 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: KNIGHTS OF COLUMBUS - MIDDLEBURY, CT INVESTMENT RELATED: N ADDRESS OF BUSINESS: MIDDLEBURY, CONNECTICUT 6762 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 8/1/2016 NUMBER OF HOURS DEVOTED: 10 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: CATHOLIC SERVICE ORGANIZATION THAT BENEFITS FAMILIES OF THE ST JOHN OF THE CROSS PARISH FAMILY AS WELL AS THE LOCAL COMMUNITY IN WHICH THEY RESIDE. FUNDRAISING FOR SCHOLARSHIPS, COMMUNITY SERVICE AND YOUTH EDUCATION

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-12-31
  • S66 Uniform Combined State Law Examination
    2007-12-31

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