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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 2011-07-29
MD RA APPROVED 2008-11-07
  • TX RA
    APPROVED_RES
    Since 2011-07-29
  • MD RA
    APPROVED
    Since 2008-11-07

Branch Locations

11810 Grand Park Ave, North Bethesda, MD 20852 • 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 Rockville MD 07/2008 Present
Bank Of America, N.A. North Bethesda MD 07/2011 Present
Other Businesses

I*: 2445286 Entity Type: Fiduciary role Name of OBA: W. and M. S. Address: Damestown, MD 20878 Investment Related: No Position, Title, Association: POA Employee Start Date: 6/1/2025 Number of Hours: 0 Number of Hours during trading: 0 Duties: POA for parents I*: 2496375 Entity Type: Fiduciary role Name of OBA: W. T S. AND M. S. ATBE Address: Darnestown, MD 20878 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 06/01/2025 Number of Hours: 0 Number of Hours during trading: 0 Duties: Power of Attorney for parents I*4530278 Entity Type: Charitable Name of OBA: Lilabean Foundation Address: Silver Spring, Maryland, 20901 Investment Related: No Position, Title, Association: Committee Employee Start Date: 05/13/2026 Number of Hours: 3, Yearly Number of Hours during trading: 0 Duties: At the Lilabean Foundation for Pediatric Brain Cancer Research (LBF), we are on a mission to fund groundbreaking research that leads to better treatments and outcomes for children battling brain cancer. LBF was founded in 2012 by the Giroux family after their daughter, Lila, was diagnosed with an inoperable low-grade glioma. Their journey through the challenges and limited treatment options inspired a mission: to raise critical funds, drive awareness, and provide hope for families facing the unimaginable. Brain tumors are the leading cause of cancer-related death in children, yet research remains critically underfunded. LBF is committed to changing that reality by investing in innovative research initiatives that improve treatments and outcomes for children battling brain cancer. Through the power of community, advocacy, and research funding, we are working toward a future where every child with brain cancer has a chance to grow up and thrive. Host Committee member who invites others to attend the annual Fall Ball for LBF.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-11-03
  • S66 Uniform Combined State Law Examination
    2008-11-03

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