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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 2010-08-02
NH RA APPROVED 1998-06-15
  • TX RA
    APPROVED_RES
    Since 2010-08-02
  • NH RA
    APPROVED
    Since 1998-06-15

Branch Locations

900 Elm St, Manchester, NH 03101 • 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 Manchester NH 03/1998 Present
Bank Of America, N.A. Manchester NH 07/2011 Present
Other Businesses

I*3360268Entity Type: Fiduciary roleName of OBA: D. Family Dynasty Tr. IIAddress: Londonderry, New Hampshire, 3053Investment Related: NoPosition, Title, Association: Co-TrusteeEmployee Start Date: 12/30/2025Number of Hours: 1, YearlyNumber of Hours during trading: 1, YearlyDuties: Co-Trustee/Child/Grandchild

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-05-15
S63 Uniform Securities Agent State Law Examination 1995-10-26
  • S65 Uniform Investment Adviser Law Examination
    1998-05-15
  • S63 Uniform Securities Agent State Law Examination
    1995-10-26

View on SEC IAPD

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