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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 2020-05-01
CT RA APPROVED 2020-01-15
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2020-05-01
  • CT RA
    APPROVED
    Since 2020-01-15

Branch Locations

2649 South Rd, Poughkeepsie, NY 12601 • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Buckman & Reid Inc. Little Silver NJ 04/2016 01/2018
Morgan Stanley Private Bank, N.A. New York NY 03/2018 09/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Kingston NY 11/2019 Present
Begnal Motors Kingston NY 10/2019 11/2019
Bank Of America, N.A. Kingston NY 01/2020 Present
  • 04/2016 → 01/2018
    Buckman & Reid Inc.
    Little Silver, NJ
  • 03/2018 → 09/2019
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 11/2019 → Present
    Kingston, NY
  • 10/2019 → 11/2019
    Begnal Motors
    Kingston, NY
  • 01/2020 → Present
    Bank Of America, N.A.
    Kingston, NY
Previous Registrations
Other Businesses

I*441987 For profit or not for profit: Entity For Profit Name of outside business organization: Anytime Home Care Investment related: N Address of business: Hudson, New York, 12534 Nature of business: ["Corporation"] Position, title, association: ["Other","Treasurer"], Start date of relationship: 1/17/2020 Number of hours devoted: 32 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Part-Time, Personal Assistant to a stroke victim on weekends; assist with mobility and errands. I*609235 For profit or not for profit: Entity For Profit Name of outside business organization: Stewart's Shops Investment related: N Address of business: KIngston, New York, 12401 Nature of business: ["Corporation"] Position, title, association: ["Employee"], Start date of relationship: 12/3/2021 Number of hours devoted: 16 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Convenience Store; Customer Service

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-02-19
S63 Uniform Securities Agent State Law Examination 1992-10-12
  • S66 Uniform Combined State Law Examination
    2018-02-19
  • S63 Uniform Securities Agent State Law Examination
    1992-10-12

View on SEC IAPD

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