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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-01-03
DE RA APPROVED 1998-01-01
  • TX RA
    APPROVED_RES
    Since 2013-01-03
  • DE RA
    APPROVED
    Since 1998-01-01

Branch Locations

2951 Centerville Rd, Wilmington, DE 19808 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Wilmington DE 01/1993 Present
Bank Of America, N.A. Wilmington DE 07/2011 Present
Other Businesses

I*28306 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL OF REAL ESTATE INVESTMENT RELATED: Y ADDRESS OF BUSINESS: NEWARK, DELAWARE 19713 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: GENERAL PARTNER, START DATE OF RELATIONSHIP: 9/1/2004 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PARTNER CO-MAMAGE A RENTAL PROPERTY FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT NAME OF OUTSIDE BUSINESS ORGANIZATION: THE BIKE BOUTIQUE INVESTMENT RELATED: N ADDRESS OF BUSINESS: WILMINGTON, DE 19801 NATURE OF BUSINESS: BIKE SHOP/FITNESS CLUB POSITION, TITLE, ASSOCIATION: SPINNING INSTRUCTOR START DATES OF RELATIONSHIPS: 07/14/10 NUMBER OF HOURS DEVOTED PER MONTH: 1-10 HRS NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 1-10 HRS DUTIES: TEACH SPINNING CLASS- (STATIONARY BIKES), I WORK OUT OVER LUNCH HOUR ALREADY AND WILL TEACH THE ONE HOUR CLASS OVER LUNCH WEEKLY. EXPECT TO WORK 4 HOURS PER MONTH TOTAL WITHOUT TAKING ANY ADDITIONAL TIME OUT OF THE OFFICE. I*51583 For profit or not for profit: For-Profit Organization Name of outside business organization: Christiana Investors Investment related: Y Address of business: Newark, Delaware 19713 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 1/5/1994 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Buy, hold and manage residential real estate.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-02-14
S63 Uniform Securities Agent State Law Examination 1993-03-11
  • S65 Uniform Investment Adviser Law Examination
    1994-02-14
  • S63 Uniform Securities Agent State Law Examination
    1993-03-11
Other Names
  • Bradford Bugher
  • Brad Bugher
  • Brad Bugher
  • Bradford Eric Bugher

View on SEC IAPD

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