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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 2024-11-12
NJ RA APPROVED 2024-10-21
  • TX RA
    APPROVED
    Since 2024-11-12
  • NJ RA
    APPROVED
    Since 2024-10-21

Branch Locations

1700 State Route 23, Wayne, NJ 07470 • 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
Pruco Securities Llc Basking Ridge NJ 08/2022 04/2024
Van Leeuwen And Company Princeton NJ 03/2022 07/2022
Green Knoll Grill Bridgewater NJ 04/2022 07/2022
Uber Somerville NJ 02/2022 04/2022
Unemployed Gladstone NJ 12/2015 02/2022
The Prudential Insurance Company Of America Basking Ridge NJ 01/2023 04/2024
Mml Investors Services Llc Iselin NJ 04/2024 09/2024
Mass Mutual Life Insurance Company Iselin NJ 04/2024 09/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated Wayne NJ 09/2024 Present
Barnum Financial Group Iselin NJ 04/2024 09/2024
Bank Of America, N.A. Wayne NJ 10/2024 Present
  • 08/2022 → 04/2024
    Basking Ridge, NJ
  • 03/2022 → 07/2022
    Van Leeuwen And Company
    Princeton, NJ
  • 04/2022 → 07/2022
    Green Knoll Grill
    Bridgewater, NJ
  • 02/2022 → 04/2022
    Uber
    Somerville, NJ
  • 12/2015 → 02/2022
    Unemployed
    Gladstone, NJ
  • 01/2023 → 04/2024
    The Prudential Insurance Company Of America
    Basking Ridge, NJ
  • 04/2024 → 09/2024
    Iselin, NJ
  • 04/2024 → 09/2024
    Mass Mutual Life Insurance Company
    Iselin, NJ
  • 09/2024 → Present
    Wayne, NJ
  • 04/2024 → 09/2024
    Barnum Financial Group
    Iselin, NJ
  • 10/2024 → Present
    Bank Of America, N.A.
    Wayne, NJ
Previous Registrations
Other Businesses

I*2034266, Entity Type: Entity For Profit, Entity Publicly Traded, Name: Uber, Investment-related: No, Address: San Francisco, CA 94158, Nature of the other business, Driving, Your position: Consultant/Independent Contractor, Start date: 01-Nov-2024, Approximate number of hours/months you devote to the other business: 1hr/Mo, Number of hours you devote to the other business during securities trading hours, 0, Duties: Driving.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-01-16
  • S66 Uniform Combined State Law Examination
    2023-01-16
Other Names
  • Charles Edward Cain

View on SEC IAPD

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