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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-03-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pennington | NJ | 01/2002 | Present |
I*121400 For profit or not for profit: For-Profit Organization Name of outside business organization: E-Bay Investment related: N Address of business: ROBBINSVILE, New Jersey 08691 Nature of business: Other,Just a member seller on Ebay Position, title, association: Other, I am just a member seller on Ebay Start date of relationship: 10/1/2018 Number of hours devoted: 20 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: I sell household items on Ebay including clothing, books, electronics and collectibles. I am doing this to de-clutter our house as 2-3 children moved out and we plan to sell our home in the next year. I*2979 For profit or not for profit: Financial Self-Regulatory Organization Name of outside business organization: FINRA-OFFICE OF DISPUTE RESOLUTION Investment related: N Address of business: NEW YORK, New York 10006 Nature of business: FINANCIAL REGULATORY AUTHORITY, Position, title, association: NON-PUBLIC ARBITRATOR, Start date of relationship: 11/9/2020 Number of hours devoted: 24 hour(s) Monthly Number of hours devoted during trading hours: 24 Duties: WORKING ON TEAM THAT HANDLES ARBITRATIONS OBA ID; 469848 OBA Name: FINRA-OFFICE OF DISPUTE RESOLUTIO Location: NY NY Start Date: 11/09/2020 Role: Consultant/Independent Contractor Investment Related Activity: No Duties: FINANCIAL REGULATORY AUTHORITYWORKING ON TEAM THAT HANDLES ARBITRATIONS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-05 |
| S63 | Uniform Securities Agent State Law Examination | 1994-05-24 |
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