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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2010-01-12
  • ME RA
    APPROVED
    Since 2010-01-12

Branch Locations

1 Monument Sq, Portland, ME 04101 • 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
Bank Of America,N.A. Portland ME 09/2010 Present
Merrill Lynch, Pierce, Fenner, & Smith Incorporated Portland ME 01/2010 Present
Previous Registrations
Other Businesses

I*30340For profit or not for profit: Non-Profit OrganizationName of outside business organization: Maine Coucil of ChurchesInvestment related: NAddress of business:Portland, Maine 4101Nature of business: Charitable Organization,Position, title, association: Committee Member, Start date of relationship: 1/1/1998Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: Subcommittee Member To help guide all denominations of churches in MaineI*119778For profit or not for profit: Non-Profit OrganizationName of outside business organization: Pine Tree Council of the Boy Scouts of AmericaInvestment related: NAddress of business:Raymond, Maine 4071Nature of business: Charitable Organization,Position, title, association: Director, Start date of relationship: 1/1/2019Number of hours devoted: 3 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: Member of the Board of DirectorsI*119779For profit or not for profit: Non-Profit OrganizationName of outside business organization: Cumberland Cemetery AssociationInvestment related: NAddress of business: Cumberland, Maine 04021Nature of business: LLC,Position, title, association: Advisory Board Member, Start date of relationship: 12/1/2017Number of hours devoted: 3 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: To help oversee for the care of the Cemeteries in my town.I*129705For profit or not for profit: Non-Profit OrganizationName of outside business organization: Cumberland Rifle and Pistol ClubInvestment related: NAddress of business: Cumberland, Maine 4021Nature of business: Charitable Organization,Position, title, association: , Start date of relationship: 2/4/2020Number of hours devoted: 12 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: The club primarily is a place where adults and youth can learn to handle firearms safely, learn marksmanship skills and if they choose, compete in matches against other clubs. I assist in the education of youth in these skills.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-04-23
S65 Uniform Investment Adviser Law Examination 1992-04-23
  • S63 Uniform Securities Agent State Law Examination
    1992-04-23
  • S65 Uniform Investment Adviser Law Examination
    1992-04-23
Other Names
  • Leonard A Taylor
  • Leonard Adams Taylor
  • Lad Taylor

View on SEC IAPD

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