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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 2004-04-01
TX RA APPROVED_RES 1999-11-11
  • NJ RA
    APPROVED
    Since 2004-04-01
  • TX RA
    APPROVED_RES
    Since 1999-11-11

Branch Locations

7 Roszel Rd, Princeton, NJ 08540 • 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. Princeton NJ 07/2011 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lawrenceville NJ 08/1989 Present
Other Businesses

I*401685For profit or not for profit: Entity CharitableName of outside business organization: Hemophilia Association of New JerseyInvestment related: YAddress of business: East Brunswick, New Jersey, 08816Nature of business: Charitable OrganizationPosition, title, association: Committee, Board Member, Officer, Executive committee, Finance committee, Investment committeeStart date of relationship: 7/1/2023Number of hours devoted: 10 hours MonthlyNumber of hours devoted during trading hours: 0Duties: , I am the Secretary of the Executive Board and serve on the Budget & Finance and Investment CommitteesDuties include: Working with the staff on the creation of the upcoming fiscal budget, presenting budget recommendations to the board for discussion and approval, monitoring the implementation of the approved budget; budget revisions, provide oversight of the Associations assets with no individual or direct control over any funds or check writing privileges I*: 1235253Entity Type: Name of OBA: Forsgate Country Club Address: Monroe Twp, NJ 08831Investment Related: No Position, Title, Association: Chairman - Board of Governors. Employee Start Date: April 1, 2026 Number of Hours: 10 hrs annually Number of Hours during trading: 2 Duties: Act as a liaison between Membership and Management, addressing concerns with respect to golf, food and beverage, and social activities held at the club, Private Golf Club

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-10-19
S63 Uniform Securities Agent State Law Examination 1994-12-07
  • S65 Uniform Investment Adviser Law Examination
    1999-10-19
  • S63 Uniform Securities Agent State Law Examination
    1994-12-07
Other Names
  • Chris P Maniaci

View on SEC IAPD

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