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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 2009-10-22
CT RA APPROVED 2006-05-05
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2009-10-22
  • CT RA
    APPROVED
    Since 2006-05-05

Branch Locations

300 Broadhollow Rd, Melville, NY 11747 • 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 Smithtown NY 02/2006 Present
Bank Of America,N.A. Smithtown NY 11/2009 Present
Other Businesses

I*1048626For profit or not for profit: Entity For ProfitName of outside business organization: LeTip of BabylonInvestment related: NAddress of business: West Islip, New YorkNature of business: ["Corporation"]Position, title, association: ["Board Member"], Start date of relationship: 11/3/2022Number of hours devoted: 2 hour(s) WeeklyNumber of hours devoted during trading hours: 0Duties: , Vice President,I*1002272For profit or not for profit: Entity For ProfitName of outside business organization: Ski 250 LLCInvestment related: NAddress of business: West Islip, New YorkNature of business: ["Limited Liability Company"]Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 9/21/2022Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , Purpose of LLC is to hold a time share at Killington Grand Hotel.I*1003391For profit or not for profit: Entity For ProfitName of outside business organization: Ski 250 LLCInvestment related: NAddress of business: Killington, VermontNature of business: ["Limited Liability Company"]Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 9/21/2022Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , Rental income when resort rents unit.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-05-04
  • S66 Uniform Combined State Law Examination
    2006-05-04

View on SEC IAPD

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