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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2020-12-15
PA RA APPROVED 2010-06-23
NJ RA APPROVED 2004-03-17
TX RA APPROVED_RES 2000-01-10
  • FL RA
    APPROVED
    Since 2020-12-15
  • PA RA
    APPROVED
    Since 2010-06-23
  • NJ RA
    APPROVED
    Since 2004-03-17
  • TX RA
    APPROVED_RES
    Since 2000-01-10

Branch Locations

1040 Stony Hill Rd, Yardley, PA 19067 • United States

New Hope, PA • United States

660 Beachland Blvd, Vero Beach, FL 32963 • United States

Vero Beach, FL • 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 Newtown PA 02/1998 Present
Bank Of America,Na Client Advisory PA 09/2009 Present
Other Businesses

I*: 2834273Entity Type: Fiduciary role Name of OBA: S. E G. DCSD TTEE U/A DTD 04/29/1991 BY S. E Address: Doylestown, PA 18901Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 09/09/2025Number of Hours: 1 hr mthly Number of Hours during trading: 0 Duties: Co-Trustee for Siblings I*: 2834275Entity Type: Fiduciary role Name of OBA: S. C G. TTEE S. E G. IV010Address: Doylestown, PA 18901Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 09/09/2025Number of Hours: 1 hr mthly Number of Hours during trading: 0 Duties: Co-Trustee for Siblings I*: 2834276Entity Type: Fiduciary role Name of OBA: S. C G. EXEC SAEST OF S. G. III Address: Doylestown, PA 18901Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 09/09/2025Number of Hours: 1 hr mthly Number of Hours during trading: 0 Duties: Co-Trustee for Siblings I*2913267 Entity Type: Fiduciary role Name of OBA: MLPF& S CUST FBO MR S.E. GRO S.E.G. III TR Address: Carversville PA Investment Related: No Position, Title, Association: Executor Start Date:09/25/2025 No Hours: 1 Weekly No Hours during trading:0 Weekly Duties: Executor for Siblings I*3156269Entity Type: Fiduciary role Name of OBA: S. C G. TTEE SAMUEL E /A DTD 10/13/2010Address: Carversville, PA, 18913Investment Related: No Position, Title, Association: ExecutorEmployee Start Date: 11/10/2025Number of Hours: 10, Yearly Number of Hours during trading: 0 Duties: Executor/Siblings I*3157265Entity Type: Fiduciary role Name of OBA: S. C G. TTEE SAMUEL U/A DTD 10/13/2010Address: Carversville, PA 18913Investment Related: No Position, Title, Association: Executor Employee Start Date: 11/10/2025 Number of Hours: 10, Yearly Number of Hours during trading: 0Duties: Executor/Siblings I*3316273, Entity Type: Fiduciary role, Name of OBA: FBO MR S E G DECD IRA FBO SEGIII D0.13.10 TR , Address: Carversville, Pennsylvania, 18913, Investment Related: N, Position, Title, Association: Co-Trustee, Employee Start Date: 12/10/2025, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: Co-Trustee/Siblings I*4182269 Entity Type: Fiduciary role Name of OBA: S. E G. DCSD TTEE U/A DTD 02/21/1998 BY MR S. E G. Address: Carversville, Pennsylvania, 18913 Investment Related: No Position, Title, Association: Executor Employee Start Date: 06/01/2025 Number of Hours: 1, Monthly Number of Hours during trading: 0 Duties: Executor/Siblings

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-04-29
S63 Uniform Securities Agent State Law Examination 1992-08-19
  • S65 Uniform Investment Adviser Law Examination
    1998-04-29
  • S63 Uniform Securities Agent State Law Examination
    1992-08-19
Other Names
  • Woody Griffiths

View on SEC IAPD

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