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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 2023-02-21
CT RA APPROVED 2023-02-07
TX RA APPROVED_RES 1999-11-23
  • FL RA
    APPROVED
    Since 2023-02-21
  • CT RA
    APPROVED
    Since 2023-02-07
  • TX RA
    APPROVED_RES
    Since 1999-11-23

Branch Locations

45 William St, Wellesley Hills, MA 02481 • United States

9128 Strada Pl, Naples, FL 34108 • United States

Miromar Lakes, FL • 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 Wellesley MA 08/1995 Present
Bank Of America, N.A. Wellesley Hills MA 06/2011 Present
Other Businesses

I*1549274For profit or not for profit: Entity For ProfitName of outside business organization: Double Eagle LLCInvestment related: NAddress of business: Miromar Lakes, Florida, 33913, United StatesNature of business: ["Limited Liability Company"]Position, title, association: ["Other"], Start date of relationship: 10/24/2023Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: member of llc, LLC to own investment real estate in FL wtih my wife colleen. I* 1737291For profit or not for profit: Entity For ProfitName of outside business organization: LLCInvestment related: noAddress of business: Miromar Lakes, Fl, 33913Nature of business: Limited Liability CompanyPosition, title, association: OtherStart date of relationship: 03/04/2024Number of hours devoted: 0.1 monthlyNumber of hours devoted during trading hours: 0Duties: LLC that owns real rental real estate in FL I own 5% interest my wife owns 95% inetest I*1838263, Entity Type Entity For Profit, Name of OBA: RENTAL PROPERTY LLC Address: Miromar LakesFlorida33913 Investment Related: No Position, Title, Association: Other Employee Start Date: 05/16/2024No Hours: 0 No Hours during trading: 0 Duties: rental income I*3481265, Entity Type: , Name of OBA: C Breemen roth , Address: miromar lakes , Florida, 33913, Investment Related: N, Position, Title, Association: Power of Attorney, Employee Start Date: 01/08/2026, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-02-06
S65 Uniform Investment Adviser Law Examination 1995-12-11
S63 Uniform Securities Agent State Law Examination 1995-11-03
  • S66 Uniform Combined State Law Examination
    2023-02-06
  • S65 Uniform Investment Adviser Law Examination
    1995-12-11
  • S63 Uniform Securities Agent State Law Examination
    1995-11-03
Other Names
  • Eric W Breeman

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