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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-03-16
CT RA APPROVED 2009-10-27
  • TX RA
    APPROVED_RES
    Since 2021-03-16
  • CT RA
    APPROVED
    Since 2009-10-27

Branch Locations

1700 W Park Dr, Westborough, MA 01581 • United States

Worcester, MA • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Oxford MA 10/2009 Present
Bank Of America, Na Worcester MA 10/2009 Present
Previous Registrations
  • 2006-06-26 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Worcester, MA
    Oxford, MA
    Sturbridge, MA
    Worcester, MA
Other Businesses

I*115072For profit or not for profit: Non-Profit OrganizationName of outside business organization: Creative Hub WorcesterInvestment related: NAddress of business:Worcester, Massachusetts 1608Nature of business: Charitable Organization,Position, title, association: Advisory Board Member, Start date of relationship: 7/1/2018Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: I have been asked to be an at large Board of Directors member for this organization which is a startup arts access non-profit for children. I*135174For profit or not for profit: For-Profit OrganizationName of outside business organization: Canyons Edge USAInvestment related: NAddress of business:Worcester, Massachusetts 1605Nature of business: Sole Proprietorship,Position, title, association: Owner, Start date of relationship: 1/1/2021Number of hours devoted: 20 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: I plan on starting a small clothing brand with an online retail shop. I*135239For profit or not for profit: For-Profit OrganizationName of outside business organization: Pirate Life GearInvestment related: NAddress of business:Worcester, Massachusetts 01605Nature of business: Sole Proprietorship,Position, title, association: Owner,Start date of relationship: 12/15/2020Number of hours devoted: 20 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: I am starting a small print on demand clothing website related to pirate themed attire I*3010273, Entity Type: , Name of OBA: The Estate of K F, Address: Worcester, Massachusetts, 01605, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 10/14/2025, No Hours: 10 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-06-23
  • S66 Uniform Combined State Law Examination
    2006-06-23

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