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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 2016-07-28
CT RA APPROVED 2015-05-04
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2016-07-28
  • CT RA
    APPROVED
    Since 2015-05-04

Branch Locations

90 Crystal Run Rd, Middletown, NY 10941 • 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
Bank Of America, N.A. Middletown NY 04/2015 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Middletown NY 04/2015 Present
Previous Registrations
  • 2014-04-28 → 2015-04-07
    Poughkeepsie, NY
    Cortlandt Manor, NY
    St Louis, MO
Other Businesses

I*920265, Name of OBA: Rental Property 1 Address: Falmouth, MA Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 7/24/2022 No Hours: 4 Monthly No Hours during trading: 0 Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-01-24
  • S66 Uniform Combined State Law Examination
    2014-01-24

View on SEC IAPD

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