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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
TX RA APPROVED 2016-04-01
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED
    Since 2016-04-01

Branch Locations

900 South Ave, Staten Island, NY 10314 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Staten Island NY 05/1993 Present
Bank Of America, Na Staten Island NY 01/2010 Present
Other Businesses

I*127482For profit or not for profit: Non-Profit OrganizationName of outside business organization: Critsian Rivera FoundationInvestment related: NoAddress of business: Edgewater, New Jersey 07020Nature of business: Charitable Organization,Position, title, association: Committee Member, Start date of relationship: 1/1/2019Number of hours devoted: 100 hrs AnnuallyNumber of hours devoted during trading hours: 0Duties: help to raise money for children brain cancerI*1204464For profit or not for profit: Name of outside business organization: Coterra Energy Inc.Investment related: NAddress of business: Houston, Texas, 77024Nature of business: Business or Industry OrganizationPosition, title, association: OtherStart date of relationship: 3/7/2023Number of hours devoted: 0 Number of hours devoted during trading hours: 0Duties: land owner for mineral rights, receiving mineral rights on property ownedI*1209280Entity Type: For ProfitName of outside business organization: Southwestern Energy CompanyInvestment related: NoAddress of business: Spring, Texas, 77389Nature of business: CorporationPosition, title, association: Other Start date of relationship: 3/7/2023Number of hours devoted: 0 Number of hours devoted during trading hours: 0Duties: Land owner getting mineral rights, No responsibilities. Getting paid for mineral rightsI*4603274 Entity Type: Fiduciary role Name of OBA: COL T. L P. Address: Staten Island, New York, 10307 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 06/02/2026 Number of Hours: 1, Monthly Number of Hours during trading: 0 Duties: Power of Attorney/Parents I*4655291 Entity Type: N/A Name of OBA: MLPF& S CUST FPO T P IRA FBO T P Address: Staten Island, New York, 10306 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 06/25/2026 Number of Hours: 5, Yearly Number of Hours during trading: 0, Yearly Duties: Parents I*4654325 Entity Type: N/A Name of OBA: MR P L P TTEE U/A DTD 08/17/2023 BY MR T L P Address: Staten Island, New York, 10306 Investment Related: No Position, Title, Association: Trustee Employee Start Date: 06/25/2026 Number of Hours: 5, Yearly Number of Hours during trading: 0, Yearly Duties: Parents I*4654323 Entity Type: N/A Name of OBA: COL T L P Address: Staten Island, New York, 10306 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 06/25/2026 Number of Hours: 5, Yearly Number of Hours during trading: 0, Yearly Duties: Parents I*4654324 Entity Type: N/A Name of OBA: MLPF& S CUST FPO T L P IRA FBO T L P Address: Staten ISland, New York, 10306 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 06/24/2026 Number of Hours: 5, Yearly Number of Hours during trading: 0, Yearly Duties: Parents

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-04-10
S63 Uniform Securities Agent State Law Examination 1997-01-07
  • S65 Uniform Investment Adviser Law Examination
    1997-04-10
  • S63 Uniform Securities Agent State Law Examination
    1997-01-07
Other Names
  • Paul L Pristavec

View on SEC IAPD

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