Best Investors Account Sign in
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-10-10
NY RA APPROVED 2021-04-19
NJ RA APPROVED 2016-11-01
TX RA APPROVED_RES 2016-11-01
  • NC RA
    APPROVED
    Since 2024-10-10
  • NY RA
    APPROVED
    Since 2021-04-19
  • NJ RA
    APPROVED
    Since 2016-11-01
  • TX RA
    APPROVED_RES
    Since 2016-11-01

Branch Locations

108 N Front St, Kingston, NY 12401 • United States

Bald Head Island, NC • 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Kingston NY 05/2009 11/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 11/2016 Present
Bank Of America, N.A. New York NY 01/2017 Present
Previous Registrations
Other Businesses

I*99871FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: KBPP PROPETIES LLCINVESTMENT RELATED: NADDRESS OF BUSINESS:KINGSTON, NEW YORK 12401NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: GENERAL PARTNER, START DATE OF RELATIONSHIP: 40277NUMBER OF HOURS DEVOTED: 2 HOUR(S) QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: LLC - REAL ESTATEI*5189Name of outside business organization: Rental PropertyAddress of business: Bald Head Island, North Carolina, 28461Nature of business: N Start date of relationship: 6/30/2017Number of hours devoted: 2 hour(s)Number of hours devoted during trading hours: 0 I*4596272 Entity Type: N/A Name of OBA: Mount Academy Address: Esopus, New York, 12429 Investment Related: No Position, Title, Association: Other Employee Start Date: 06/01/2026 Number of Hours: 4, Weekly Number of Hours during trading: 0, Weekly Duties: Interim Athletic Director, term to be 6-12 months. This is a very small school with little time needed to organize athletics. My main role would be leading the search for a full-time Athletic Director. Organize scheduling as necessary, lead search for permanent AD.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-06-28
S63 Uniform Securities Agent State Law Examination 1993-01-21
  • S65 Uniform Investment Adviser Law Examination
    1993-06-28
  • S63 Uniform Securities Agent State Law Examination
    1993-01-21

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Kingston, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor