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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_RES 2006-09-22
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2006-09-22

Branch Locations

449 Route 146, Clifton Park, NY 12065 • 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 Albany NY 07/2006 Present
Bank Of America,Na Clifton Park NY 09/2009 Present
Other Businesses

I*30117FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: THE CHARISMATIC ADVISOR BOOKINVESTMENT RELATED: NADDRESS OF BUSINESS:NEEDHAM, MASSACHUSETTS 2492NATURE OF BUSINESS: OTHER,IT IS A BOOK USED FOR FINANCIAL ADVISORSPOSITION, TITLE, ASSOCIATION: OTHER, I WAS WRITTEN UP IN THE BOOKSTART DATE OF RELATIONSHIP: 1/8/2010NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: BOOKS/AUTHORSHIP*106030For profit or not for profit: Non-Profit OrganizationName of outside business organization: NYS Investigators EAFInvestment related: NAddress of business: Clifton Park NY, New York 12065Nature of business: Charitable Organization,Position, title, association: Trustee, Start date of relationship: 12/1/2016Number of hours devoted: 10 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: Trustee on the board. Member of the scholarship committeeI "984415",Name of OBA: ADDISON WAY, LLC ,Address: Rexford, New York,Investment Related: N,Position, Title, Association: ["General Partner/Managing Member"],Employee Start Date: 9/9/2022,No Hours: 5, Monthly,No Hours during trading: 1This is an LLC formed for a family property which will be first used for personal recreation, but then may integrate a client facing business such as selling timber or another recreational business" I*2838272 Entity Type: N/A Name of OBA: Loan Address:Clifton Park New York Investment Related:No Position, Title, Association:N/A Start Date:09/10/2025 No Hours: 0 Yearly No Hours during trading:0 Yearly Duties:loan to friend

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-10-09
S65 Uniform Investment Adviser Law Examination 1996-10-09
  • S63 Uniform Securities Agent State Law Examination
    1996-10-09
  • S65 Uniform Investment Adviser Law Examination
    1996-10-09

View on SEC IAPD

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