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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2009-10-23
  • NJ RA
    APPROVED
    Since 2009-10-23

Branch Locations

115 W Century Rd, Paramus, NJ 07652 • 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
Bank Of America, N.A. Glen Rock NJ 10/2004 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Glen Rock NJ 10/2009 Present
Previous Registrations
  • 2005-07-14 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Glen Rock, NJ
    Glen Rock, NJ
    Glen Rock, NJ
    Glen Rock, NJ
Other Businesses

I*9228 For profit or not for profit: For-Profit Organization Name of outside business organization: BFC ENTERPRISES LLC Investment related: Address of business: Woodcliff Lake, New Jersey 07677 Nature of business: , Position, title, association: General Partner, Start date of relationship: 4/1/2008 Number of hours devoted: 0 hour(s) Monthly Number of hours devoted during trading hours: Duties: BFC Enterprises LLC is still an existing entity but we recently sold the Laundromat that it owned. The entity will stay open to acquire new businesses in the future. But, it currently owns no business. I*19069 For profit or not for profit: For-Profit Organization Name of outside business organization: BFC Realty LLC Investment related: Address of business: Woodcliff Lake, New Jersey 07677 Nature of business: , Position, title, association: Owner, Start date of relationship: 8/27/2010 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: Duties: Buying and selling of Real Estate - duties will include overseeing finances

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-05-02
S63 Uniform Securities Agent State Law Examination 1995-07-17
  • S66 Uniform Combined State Law Examination
    2005-05-02
  • S63 Uniform Securities Agent State Law Examination
    1995-07-17
Other Names
  • Mike Tortora

View on SEC IAPD

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