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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 2013-03-22
CT RA APPROVED 2011-08-17
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2013-03-22
  • CT RA
    APPROVED
    Since 2011-08-17

Branch Locations

90 Crystal Run Rd, Middletown, NY 10941 • 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 Yes
  • 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 08/2011 Present
Bank Of America, N.A. Albany NY 11/2011 Present
Previous Registrations
Other Businesses

I*: 2578315Entity Type: For profitName of OBA: Madison ResortsAddress: Wildwood Crest, New Jersey, 08260,Investment Related: NoPosition, Title, Association: Model for AdvertisementEmployee Start Date: 07/01/2025Number of Hours: 5 hrs annuallyNumber of Hours during trading: 3 hrs annuallyDuties: One day modeling shoot for a hotel advertisement I*, 2763263Entity Type: Entity For Profit,Entity Publicly TradedName of OBA: EMS/Apple StudiosAddress: Albany, New York 12207Investment Related: NoPosition, Title, Association: OtherEmployee Start Date: 08/19/2025No Hours: 8hrs per yearNo Hours during trading: 3Duties: Film Production, Background Actor I*2705303, Entity Type: Entity For Profit, Name of OBA: TCB Films, Address: New Haven, Connecticut, 06519, Investment Related: N, Position, Title, Association: Other, Employee State Date: 08/09/2025, No Hours: 9 Yearly, No Hours during Trading: 0 Yearly, Duties: Background Actor, TV/Film Production I*2739278, Entity Type: Entity For Profit,Entity Publicly Traded, Name of OBA: NBC Universal, Address: Brooklyn, New York, 11232, Investment Related: N, Position, Title, Association: Other, Employee State Date: 08/15/2025, No Hours: 6 Yearly, No Hours during Trading: 2 Yearly, Duties: Background / Extra, Media Organization I*2742262, Entity Type: Entity For Profit, Name of OBA: Entertainment Managed Services LLC, Address: Encino, California, 91436, Investment Related: N, Position, Title, Association: Other, Employee State Date: 08/14/2025, No Hours: 6 Yearly, No Hours during Trading: 2 Yearly, Duties: Bakcground actor, Film Production I*2749261, Entity Type: Entity For Profit,Entity Publicly Traded, Name of OBA: Elevate/20th Century Fox/Disney, Address: Albuquerque, New Mexico, 87112, Investment Related: N, Position, Title, Association: Other, Employee State Date: 08/18/2025, No Hours: 18 Yearly, No Hours during Trading: 4 Yearly, Duties: Background Actor / Feature Film, Film Production I*4861267, Entity Type Entity For Profit, Name of OBA: RD Content Address: Brooklyn New York 11201 Investment Related:No Position, Title, Association: Other Employee Start Date: 07/09/2026 No Hours: 3 Yearly No Hours during trading: 0 Duties: Background Actor, Media/Advertising I*5480268, Entity Type: Entity For Profit, Name of OBA: Background Inc, Address: New York, New York, 10004, Investment Related: N, Position, Title, Association: Other, Employee Start Date: 08/19/2026, No Hours: 4 Yearly, No Hours during Trading: 2 Yearly, Duties: Background actor Background casting for print and television media

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-01-28
  • S66 Uniform Combined State Law Examination
    2010-01-28
Other Names
  • Kevin Regan

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