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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 2012-07-10
NJ RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2012-07-10
  • NJ RA
    APPROVED
    Since 2009-10-23

Branch Locations

172 Main St, Chester, NJ 07930 • United States

1700 State Route 23, Wayne, NJ 07470 • 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 Lake Hiawatha NJ 10/2009 Present
Bank Of America, N.A. Lake Hiawatha NJ 11/2009 Present
Previous Registrations
  • 2004-10-20 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Lake Hiawatha, NJ
    Lake Hiawatha, NJ
  • 2002-09-09 → 2004-10-20
    Quick & Reilly, Inc.
    Hiawatha, NJ
Other Businesses

I*42499 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ZAPPATORE LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: SUFFERN, NEW YORK 10901 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: GENERAL PARTNER, START DATE OF RELATIONSHIP: 6/17/2011 NUMBER OF HOURS DEVOTED: 5 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS A FAMILY OWNED REAL ESTATE LLC. THE MAIN PURPOSE IS TO GENERATE PASSIVE RENTAL INCOME FROM VARIOUS MULTI FAMILY RESIDENTIAL PROPERTIES OWNED BY THE LLC. I*42500 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: DOMINIC ALFIERI INVESTMENT RELATED: Y ADDRESS OF BUSINESS: WASHINGTON, NEW JERSEY 7882 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 5/7/2010 NUMBER OF HOURS DEVOTED: 2 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS A MULTI FAMLY RESIDENTIAL DUPLEX THAT GENERATES RENTAL INCOME ON A MONTHLY BASIS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-07-12
S63 Uniform Securities Agent State Law Examination 1994-02-10
  • S65 Uniform Investment Adviser Law Examination
    2002-07-12
  • S63 Uniform Securities Agent State Law Examination
    1994-02-10
Other Names
  • Dominic Alfieri

View on SEC IAPD

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