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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 2021-10-07
NY RA APPROVED 2021-04-19
CT RA APPROVED 2020-03-04
  • TX RA
    APPROVED_RES
    Since 2021-10-07
  • NY RA
    APPROVED
    Since 2021-04-19
  • CT RA
    APPROVED
    Since 2020-03-04

Branch Locations

2649 South Rd, Poughkeepsie, NY 12601 • United States

Disclosures

2 disclosure categories 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Poughkeepsie NY 10/2019 Present
Vapeology Poughkeepsie NY 01/2014 10/2019
Bank Of America, N.A Poughkeepsie NY 12/2019 Present
Other Businesses

I*2036322, Entity Type, Entity Charitable, Name of OBA: Integra Pregnancy Services, Address: Poughkeepsie, NY, 12601, Investment Related: No, Position, Title, Association: Board Mbr, Employee Start Date: 11/01/2024, No Hours: 1hr/Mo, No Hours during trading: 0, Duties: General board member. I*2162279, Entity Type For profit, Name of OBA: Dutchess County Sheriff's Office, Division of Correction Address: Poughkeepsie, NY 12601 Investment Related: No Position, Title, Association: Volunteer Employee Start Date:1-27-2025 No Hours: 1 monthly No Hours during trading: 0 Duties: I will be a positive resource to the inmate population. I*2237280, Entity Type Entity Charitable, Name of OBA: ASTOR SERVICES FOR CHILDREN & FAMILIES Address: Rhinebeck, New York12572 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 04/25/2025No Hours: 1 monthly No Hours during trading: 0 Duties: Astor provides essential supports, tools and high quality, comprehensive behavioral health and educational services to engage, empower and strengthen children, adults and families in all communities. I will be on the board helping achieve this. I*: 2477270 Entity Type: Charitable Name of OBA: Old Rhinebeck Aerodrome Address: Rhinebeck, NY 12572 Investment Related: No Position, Title, Association: Board member Employee Start Date: 7/1/2025 Number of Hours: 4 hrs annually Number of Hours during trading: 0 Duties: General Board Member

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-03-03
  • S66 Uniform Combined State Law Examination
    2020-03-03
Other Names
  • Matthew Ross Nathan

View on SEC IAPD

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