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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 2009-03-19
CT RA APPROVED 2009-01-08
  • TX RA
    APPROVED_RES
    Since 2009-03-19
  • CT RA
    APPROVED
    Since 2009-01-08

Branch Locations

185 Asylum St City Place Ii, 14Th Fl, Hartford, CT 06103 • 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 Hartford CT 01/2009 Present
Bank Of America, N.A. Hartford CT 07/2011 Present
Previous Registrations
Other Businesses

I*803274 For profit or not for profit: Name of outside business organization: CONNECTICUT DANCE ACADEMY, LLC U/A 01/01/2021 Investment related: N Address of business: Canton, Connecticut, 06019 Nature of business: Position, title, association: Co-Trustee, Start date of relationship: 4/6/2022 Number of hours devoted: 2 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , I*803275 For profit or not for profit: Name of outside business organization: CONNECTICUT DANCE ACADEMY, LLC U/A 01/01/2021 Investment related: N Address of business: Canton, Connecticut, 06019 Nature of business: Position, title, association: Trustee, Start date of relationship: 4/6/2022 Number of hours devoted: 2 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , I*97859 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: CONNECTICUT DANCE ACADEMY INVESTMENT RELATED: N ADDRESS OF BUSINESS: CANTON, CONNECTICUT 06019 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: START DATE OF RELATIONSHIP: 10/01/2016 NUMBER OF HOURS DEVOTED: 4 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: CONNECTICUT DANCE ACADEMY PROVIDES DANCE INSTRUCTION TO CHILDREN. AS A CO-OWNER WITH MY WIFE, I PROVIDE MARKETING AND FINANCIAL GUIDANCE. I*2146291, Entity Type: Fiduciary, Name of OBA: CONNECTICUT DANCE ACADEMY, LLC U/A 01/01/2021 , Address: Canton, Connecticut, 06019, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 31-Dec-2024, No Hours: 2 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-08-01
  • S66 Uniform Combined State Law Examination
    2007-08-01

View on SEC IAPD

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