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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 2012-09-07
NJ RA APPROVED 2004-02-20
  • TX RA
    APPROVED_RES
    Since 2012-09-07
  • NJ RA
    APPROVED
    Since 2004-02-20

Branch Locations

Randolph, NJ • United States

51 John F Kennedy Pkwy, Short Hills, NJ 07078 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Short Hills NJ 12/1990 Present
Bank Of America,Na Short Hills NJ 12/2009 Present
Other Businesses

I*: 2992264 Entity Type: Fiduciary role Name of OBA: P. E. D. Address: Mays Landing, NJ 08330 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 10/12/2025 Number of Hours: 0 Number of Hours during trading: 0 Duties: Power of Attorney/Parents

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-03-04
S63 Uniform Securities Agent State Law Examination 1990-02-01
  • S65 Uniform Investment Adviser Law Examination
    1996-03-04
  • S63 Uniform Securities Agent State Law Examination
    1990-02-01

View on SEC IAPD

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