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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 2014-02-20
CT RA APPROVED 2010-07-08
  • TX RA
    APPROVED_RES
    Since 2014-02-20
  • CT RA
    APPROVED
    Since 2010-07-08

Branch Locations

Marshfield, MA • United States

100 Federal St Gwim Chief Investment Office (Cio), Boston, MA 02110 • United States

Cambridge, MA • United States

One Bryant Park Gwim Chief Investment Office (Cio), New York, NY 10036 • 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 (7691) Boston MA 03/2009 Present
  • 03/2009 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated (7691)
    Boston, MA
Other Businesses

I*75252 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: 222-224 UPLAND ROAD CONDO ASSOCIATION TRUST INVESTMENT RELATED: N ADDRESS OF BUSINESS: 222-224 UPLAND ROAD, CAMBRIDGE, MASSACHUSETTS 2140 NATURE OF BUSINESS: TRUST, POSITION, TITLE, ASSOCIATION: TRUSTEE, START DATE OF RELATIONSHIP: 11/30/2005 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: AS A CONDO OWNER IN A THREE UNIT FAMILY BUILDING BY DEFAULT BECAME A "TRUSTEE" OF THE CONDO ASSOCIATION. THERE ARE 3 TRUSTEES (OWNERS) IN THIS ASSOCIATION. THE TRUSTEES SHARE RESPONSIBILITY FOR MGMT OF THE BUILDING. I PAY THE BILLS & BALANCE ACCT.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-07-06
  • S66 Uniform Combined State Law Examination
    2010-07-06

View on SEC IAPD

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