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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2010-06-24
NJ RA APPROVED 2004-04-28
TX RA APPROVED_RES 2002-02-11
  • PA RA
    APPROVED
    Since 2010-06-24
  • NJ RA
    APPROVED
    Since 2004-04-28
  • TX RA
    APPROVED_RES
    Since 2002-02-11

Branch Locations

475 Rolling Ridge Dr, State College, PA 16801 • 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 State College PA 11/1998 Present
Bank Of America Na State College PA 06/2011 Present
Other Businesses

1)NAME: SEAGULL ISLAND CAPITAL, INVESTMENT RELATED: YES, ADDRESS: 2601 GATE WAY DR. #100 STATE COLLEGE, PA 16801-3075, NATURE: FAMILY PARTNERSHIP, YOUR POSITION, TITLE, ASSOCIATION: GENERAL PARTNER, START DATE: 1996, NUMBER OF HOURS DEVOTED PER MONTH: 2, NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: LESS THAN 1, DUTIES:NO SPECIFIC DUTIES, MY BROTHER, THOMAS, IS THE MANAGING GENERAL PARTNER. I*34280FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: BROWN FAMILY INV.PARTNERSHIPINVESTMENT RELATED: NADDRESS OF BUSINESS: 2601 GATEWAY DRIVE, SUITE 100, STATE COLLEGE, PA16801STATE COLLEGE, PENNSYLVANIA 16801NATURE OF BUSINESS: OTHER,FAMILY PARTNERSHIPPOSITION, TITLE, ASSOCIATION: GENERAL PARTNER, START DATE OF RELATIONSHIP: 12:00:00 AMNUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: FAMILY GENERAL PARTNER NONE. I*34282FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: SEA GULL ISL.CAP.-PARTINVESTMENT RELATED: YADDRESS OF BUSINESS: 2601 GATEWAY DRIVE, SUITE 100, STATE COLLEGE, PENNSYLVANIA 16801NATURE OF BUSINESS: GENERAL PARTNERSHIP,POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 12:00:00 AMNUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: FAMILY PARTNERSHIP, I AM PARTNER WITH MY 2 BROTHERS, NA I*34281For profit or not for profit: For-Profit OrganizationName of outside business organization: NO Name - (Husband and I own empty lot of ground)Investment related: NAddress of business:Huntingdon, Pennsylvania 16652Nature of business: Other,Joint ownership, husband and wifePosition, title, association: Family Held, Start date of relationship: 11/30/2005Number of hours devoted: 5 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: Joint owner - empty lotUsing Empty lot for rental day parking. 5 parking spaces are available to rent. I*4277267, Entity Type: , Name of OBA: agent for J W R, spouse, Address: Huntingdon, Pennsylvania, 16652, Investment Related: N, Position, Title, Association: Power of Attorney, Employee Start Date: 01/09/2013, No Hours: 2 Monthly, No Hours during Trading: 1 Monthly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-08-25
S63 Uniform Securities Agent State Law Examination 1999-11-01
  • S66 Uniform Combined State Law Examination
    2004-08-25
  • S63 Uniform Securities Agent State Law Examination
    1999-11-01
Other Names
  • Susan B Rumbaugh

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