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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
TX RA APPROVED_RES 2013-07-01
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2013-07-01

Branch Locations

6245 Sheridan Dr, Williamsville, NY 14221 • 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 Buffalo NY 11/2006 Present
Bank Of America, N.A. Williamsville NY 12/2009 Present
Other Businesses

I*95012 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY INVESTMENT RELATED: N ADDRESS OF BUSINESS: EAST AURORA, NEW YORK 14127 NATURE OF BUSINESS: FAMILY BUSINESS, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 5/2/1994 NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS A RENTAL PROPERTY THAT MY HUSBAND OWNED BEFORE WE WERE MARRIED. IT NOW IS IN JOINT NAME. MY HUSBAND HANDLES ALL OF THE MAINTENANCE OF THIS RENTAL PROPERTY. I*95145 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: "4429 U ROAD LLC" - RENTAL PROPERTY INVESTMENT RELATED: N ADDRESS OF BUSINESS: 4429 UNION ROAD, CHEEKTOWAGA, NEW YORK 14225 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 12/20/2006 NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS A RENTAL PROPERTY OWNED BY AN LLC OWNED BY MY HUSBAND AND ME. MY HUSBAND HANDLES ALL OF THE MAINTENANCE. THE NAME OF THE LLC IS 4429 U ROAD. THE LLC OWNS THE RENTAL PROPERTY LOCATED AT 4429 U ROAD. I*95142 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY INVESTMENT RELATED: N ADDRESS OF BUSINESS: 70 C STREET, EAST AURORA, NEW YORK 14052 NATURE OF BUSINESS: FAMILY BUSINESS, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 12/8/2015 NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS A RENTAL PROPERTY THAT I OWN JOINTLY WITH MY HUSBAND. MY HUSBAND HANDLES ALL OF THE MAINTENANCE OF THE PROPERTY. I*95144 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY INVESTMENT RELATED: N ADDRESS OF BUSINESS: 80 B ROAD, EAST AURORA, NEW YORK 14052 NATURE OF BUSINESS: FAMILY BUSINESS, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 4/30/2015 NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS A RENTAL PROPERTY THAT I OWN JOINTLY WITH MY HUSBAND. MY HUSBAND HANDLES ALL OF THE MAINTENANCE. I*95145 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: "4429 U ROAD LLC" - RENTAL PROPERTY INVESTMENT RELATED: N ADDRESS OF BUSINESS: CHEEKTOWAGA, NEW YORK 14225 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 12/20/2006 NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS A RENTAL PROPERTY OWNED BY AN LLC OWNED BY MY HUSBAND AND ME. MY HUSBAND HANDLES ALL OF THE MAINTENANCE. THE NAME OF THE LLC IS 4429 U ROAD. THE LLC OWNS THE RENTAL PROPERTY LOCATED AT 4429 U ROAD. I*1069342 For profit or not for profit: Name of outside business organization: Azsuram Holdings Investment related: N Address of business: , , Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , Future purchase of a rental property that will be handled by my husband I*4137266, Entity Type: , Name of OBA: W F M TTEE K M M TTEE U/A DTD 01/27/2009 , Address: orchard park, New York, 14127, Investment Related: N, Position, Title, Association: Co-Trustee, Employee Start Date: 03/24/2026, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-11-02
S63 Uniform Securities Agent State Law Examination 1994-05-26
  • S65 Uniform Investment Adviser Law Examination
    1994-11-02
  • S63 Uniform Securities Agent State Law Examination
    1994-05-26
Other Names
  • Kristin Marie Bauer
  • Kris Bauer
  • Kristin Bauer

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