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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2023-08-21
TX RA APPROVED_RES 2002-12-19
  • CT RA
    APPROVED
    Since 2023-08-21
  • TX RA
    APPROVED_RES
    Since 2002-12-19

Branch Locations

45 William St, Wellesley Hills, MA 02481 • 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 Wellesley Hills MA 08/2000 Present
Bank Of America, N.A. Wellesley Hills MA 12/2009 Present
Other Businesses

I*105464For profit or not for profit: For-Profit OrganizationName of outside business organization: selfInvestment related: YesAddress of business: Westford, Massachusetts 1886Position, title, association: OwnerStart date of relationship: 5/5/2017Number of hours devoted: 1 hour MonthlyNumber of hours devoted during trading hours: 0Duties: Investment Property in Durham NH I*9440Entity Type: Rental PropertyName of outside business organization: P. M. and F. M.Investment related: NoAddress of business: Westford, Massachusetts 01886Position, title, association: Co-owner with other family membersStart date of relationship: 3/13/2020Number of hours devoted: 2 hrs mthlyNumber of hours devoted during trading hours: 0Duties: Co-owner with other family members of rental property I*: 2937268Entity Type: Fiduciary roleName of OBA: F. M.Address: Westford, MA 01886Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 10/01/2025Number of Hours: 1 hr annuallyNumber of Hours during trading: 1 hr annually Duties: Power of Attorney/ Siblings I*3302280, Entity Type: , Name of OBA: Rental Property 1, Address: Durham , New Hampshire, 03824, Investment Related: N, Position, Title, Association: Co-owner with other family members, Employee State Date: 12/11/2025, No Hours: 5 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-09-28
S63 Uniform Securities Agent State Law Examination 1993-06-21
  • S66 Uniform Combined State Law Examination
    2000-09-28
  • S63 Uniform Securities Agent State Law Examination
    1993-06-21

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