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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 2025-04-01
RI RA APPROVED 2025-03-29
  • TX RA
    APPROVED
    Since 2025-04-01
  • RI RA
    APPROVED
    Since 2025-03-29

Branch Locations

3400 Pawtucket Ave Ci Client Services, Riverside, RI 02915 • 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 Lincoln RI 10/2024 Present
Citizens Bank Johnston RI 09/2023 10/2024
Unemployed North Providence RI 12/2022 08/2023
Bank Of America 505 Pleasant St MA 06/2022 12/2022
Citizens Bank Providence RI 02/2019 05/2022
Walmart Providence RI 06/2015 04/2019
  • 10/2024 → Present
    Lincoln, RI
  • 09/2023 → 10/2024
    Citizens Bank
    Johnston, RI
  • 12/2022 → 08/2023
    Unemployed
    North Providence, RI
  • 06/2022 → 12/2022
    Bank Of America
    505 Pleasant St, MA
  • 02/2019 → 05/2022
    Citizens Bank
    Providence, RI
  • 06/2015 → 04/2019
    Walmart
    Providence, RI
Other Businesses

I*: 2066388 Name of the other business Uber Eats Investment-related No Address of the other business San Francisco, Ca Position Delivery Start date of your relationship01/2023Approximate number of hours/month you devote to the other business4 hours a month Number of hours you devote to the other business during securities trading hours 0 Duties relating to the other business Deliver food to clients houses. I*3133282 Entity Type: For Profit Name of OBA: Amazon flex Address: Hoboken New Jersey Investment Related: No Position, Title, Association: Consultant/Independent Contractor Start Date:11/10/2025 No Hours: 8 Weekly No Hours during trading:0 Duties: My responsibilities will include picking up packages from designated amazon facilities and delivering them to customers. I*3658266 Entity Type: Governmental Name of OBA: State of RI -DHS (LTSS caregiver program) Address: Cranston, Rhode Island, 2920 Investment Related: No Position, Title, Association: Employee Employee Start Date: 03/01/2026 Number of Hours: 10, Weekly Number of Hours during trading: 0 Duties: State administered caregiver assistance program that provides compensation to family caregivers. No financial or investment related activities involved. Providing non medical caregiving support such as assistance with daily living activities and coordination of care, performed outside of work hours and off company premises.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-03-28
  • S66 Uniform Combined State Law Examination
    2025-03-28

View on SEC IAPD

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