Eric Besaw

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2024-07-08
NY	RA	APPROVED	2024-06-20

TX RA
APPROVED_RES

Since 2024-07-08
NY RA
APPROVED

Since 2024-06-20

Branch Locations

South Glens Falls, NY • United States

100 Federal St, Boston, MA 02110 • United States

69 State St, Albany, NY 12207 • 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

Organization	City	State	From	To
Td Ameritrade, Inc.	Quincy	MA	02/2018	01/2024
Td Ameritrade Investment Management, Llc	Omaha	NE	02/2018	01/2024
Charles Schwab And Co., Inc.	Boston	MA	01/2022	01/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Albany	NY	05/2024	Present
Unemployed	Waltham	MA	01/2024	05/2024
Scottrade	Peabody	MA	12/2014	02/2018
Bentley University	Waltham	MA	08/2016	08/2019

02/2018 → 01/2024

Td Ameritrade, Inc.

Quincy, MA
02/2018 → 01/2024

Td Ameritrade Investment Management, Llc

Omaha, NE
01/2022 → 01/2024

Charles Schwab And Co., Inc.

Boston, MA
05/2024 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Albany, NY
01/2024 → 05/2024

Unemployed

Waltham, MA
12/2014 → 02/2018

Scottrade

Peabody, MA
08/2016 → 08/2019

Bentley University

Waltham, MA

Previous Registrations

2022-01-27 → 2024-01-10

Charles Schwab & Co., Inc.

Boston, MA
2018-02-26 → 2023-09-07

Td Ameritrade Investment Management, Llc

Omaha, NE

Quincy, MA

Boston, MA
2018-02-27 → 2022-10-14

Td Ameritrade, Inc.

Peabody, MA

Boston, MA
2017-06-06 → 2018-02-26

Scottrade Investment Management

Saint Louis, MO

Other Businesses

I*1885265, Entity Type: Charitable, Name of OBA: Merrimack River Feline Rescue Society Address: Salisbury, MA 01952 Investment Related: No Position, Title, Association: Committee Employee Start Date:01/01/2023 No Hours: 1 hr monthly No Hours during trading: 0 Duties: The mission of the organization is "To improve the lives of all cats and provide support and education for the people who care about them". I volunteer as a committee member and offer support that is general in nature. I do not have access to funds or have input on investment decisions. We review the revenue, expenses, and projects for the organization. We meet monthly for approximately 30 minutes. I*: 2256275 Entity Type: For Profit Name of OBA: Bluebird Acre Farm LLC Address: South Glens Fall, NY 12803 Investment Related: No Position, Title, Association: Owner Employee Start Date: 04/11/2025 Number of Hours: 10 hrs mthly Number of Hours during trading: 0 Duties: Nursery and agriculture business. Growing and selling plants. Focused on growing fruit and nut trees and fruit and nut shrubs. Including hazelnuts, chestnuts, currants, and elderberry. My specific role as part owner will encompass procurement, cultivation, and maintaining plants and shrubs.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-05-19
S63	Uniform Securities Agent State Law Examination	2009-11-18

S66 Uniform Combined State Law Examination

2017-05-19
S63 Uniform Securities Agent State Law Examination

2009-11-18

Other Names

Eric William Besaw

View on SEC IAPD