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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2023-03-29
  • FL RA
    APPROVED
    Since 2023-03-29

Branch Locations

100 Federal St, Boston, MA 02110 • United States

2525 Pga Blvd, Palm Beach Gardens, FL 33410 • 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 Pennington NJ 01/2002 Present
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-10-05
S63 Uniform Securities Agent State Law Examination 1994-05-24
  • S65 Uniform Investment Adviser Law Examination
    1994-10-05
  • S63 Uniform Securities Agent State Law Examination
    1994-05-24
Other Names
  • Tony Sanguinetti
  • Anthony B Sanguinetti

View on SEC IAPD

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