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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
TX RA APPROVED_RES 2013-03-22
NJ RA APPROVED 2006-03-23
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2013-03-22
  • NJ RA
    APPROVED
    Since 2006-03-23

Branch Locations

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

Disclosures

1 disclosure category 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 No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 06/2005 Present
Bank Of America, N.A. New York NY 04/2015 Present
Other Businesses

I*1055514 Entity Charitable Name of OBA: Harrington Park Bulldogs Address: Harrington Park, New Jersey, 07640 Investment Related: No Position, Title, Association: President/Commissioner Employee Start Date: 04/05/2024 No Hours: 1 No Hours during trading: 0 Duties: I have volunteered to take a lead role for the Harrington Park Recreational and Travel Basketball program in my hometown. The Harrington Park Bulldogs runs the basketball program for grades K-8 in Harrington Park. I will help with registration, creating teams, creating schedules and I will also coach my children's basketball teams.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-01-31
  • S66 Uniform Combined State Law Examination
    2006-01-31

View on SEC IAPD

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