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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2026-04-30
TX RA APPROVED_RES 2006-07-25
OH RA APPROVED 1999-06-28
  • SC RA
    APPROVED
    Since 2026-04-30
  • TX RA
    APPROVED_RES
    Since 2006-07-25
  • OH RA
    APPROVED
    Since 1999-06-28

Branch Locations

5905 E Galbraith Rd, Cincinnati, OH 45236 • 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 Cincinnati OH 07/1993 Present
Bank Of America,Na Cincinnatti OH 12/2009 Present
Other Businesses

I*1020430For profit or not for profit: Name of outside business organization: Mariemont Athletic BoostersInvestment related: NAddress 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: , Fundraise and disburse funds for mariemont athletic boosters I*3184272 Entity Type: N/A Name of OBA: M A F TOD BENEFICIARIES ON FILE Address: Cincinnati, Ohio, 45227 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 11/19/2025 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: Power of Attorney for Parents I*3184273 Entity Type: N/A Name of OBA: MLPF& S CUST FPO M A F IRRA FBO M A F Address: Cincinnati, Ohio, 45227 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 11/19/2025 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: Power of Attorney for Parents I*3186267 Entity Type: N/A Name of OBA: M A F TOD BENEFICIARIES ON FILE Address: Cincinnati, OH, 45227 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 11/19/2025 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: Power of Attorney for Parents

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-09-23
S63 Uniform Securities Agent State Law Examination 1993-09-10
  • S65 Uniform Investment Adviser Law Examination
    1993-09-23
  • S63 Uniform Securities Agent State Law Examination
    1993-09-10
Other Names
  • Kevin W Frye

View on SEC IAPD

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