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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2003-01-27
VA RA APPROVED 2003-01-24
TX RA APPROVED_RES 1998-02-23
DC RA APPROVED 1994-06-02
  • MD RA
    APPROVED
    Since 2003-01-27
  • VA RA
    APPROVED
    Since 2003-01-24
  • TX RA
    APPROVED_RES
    Since 1998-02-23
  • DC RA
    APPROVED
    Since 1994-06-02

Branch Locations

1800 K St Nw, Washington, DC 20006 • 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 Washington DC 10/1991 Present
Bank Of America, N.A. Washington DC 11/2009 Present
Other Businesses

I*133657For profit or not for profit: For-Profit OrganizationName of outside business organization: Bethany Village LLCInvestment related: NAddress of business:Kensington, Maryland 20895 Nature of business: LLC,Position, title, association: Other, MANAGERStart date of relationship: 6/1/2009Number of hours devoted: 10 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: family vacation home. rental and personal use. depends on the year. I*133658For profit or not for profit: For-Profit OrganizationName of outside business organization: Fawcett Street LLCInvestment related: YAddress of business:Bethesda, Maryland 20852Nature of business: LLC,Position, title, association: Family Held, Start date of relationship: 1/1/2003Number of hours devoted: 0 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: family rental real estate this has been previously disclosed but appears to have fallen off the system I*2934268, Entity Type: Entity For Profit, Name of OBA: FAWCETT STREET LLC , Address: Bethesda, Maryland, 20814, Investment Related: N, Position, Title, Association: Owner, Employee State Date: 01/20/2003, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties: none - there is a managing member, rental real estate

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-11-03
S63 Uniform Securities Agent State Law Examination 1992-03-17
  • S65 Uniform Investment Adviser Law Examination
    1992-11-03
  • S63 Uniform Securities Agent State Law Examination
    1992-03-17

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