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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2008-09-11
TX RA APPROVED_RES 1986-03-11
  • CT RA
    APPROVED
    Since 2008-09-11
  • TX RA
    APPROVED_RES
    Since 1986-03-11

Branch Locations

301 Tresser Blvd, Stamford, CT 06901 • 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 Stamford CT 06/1968 Present
Bank Of America, N.A. Stamford CT 07/2011 Present
Other Businesses

1)FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: DE WITT CLINTON SCHOLARSHIP & STUDENT AID FUND.INVESTMENT RELATED: YADDRESS OF BUSINESS:ELMSFORD, NEW YORK 10523POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 41155NUMBER OF HOURS DEVOTED: 4 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: THE FUND IS MADE UP OF CONTRIBUTIONS BY GRADUATES OF DE WITT CLINTON HIGH SCHOOL, WITH STIPULATIONS FOR GRANTS TO CURRENT HIGH SCHOLL GRADUATES. I AM PRESIDENT OF THE BOARD THAT OVERSEES THE FUNDS AND MAKES THE DISTRIBUTIONS TO THE GRADUATES.I*32784For profit or not for profit: For-Profit OrganizationName of outside business organization: C & I collectablesInvestment related: NAddress of business:Broadway, New York, Harrison, Elmsford, New York 10523Nature of business: S-Corp,Position, title, association: Owner, Start date of relationship: 3/1/1991Number of hours devoted: 10 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: i am one of the owners of this company along with my son.the company sells sports collectables and I do the accounting for the company. I*3522266 Entity Type: N/A Name of OBA: F C Address: Bronx, New York, 10463 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 01/13/2026 Number of Hours: 1, Monthly Number of Hours during trading: 0, Monthly Duties: Cousin

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-09-02
S63 Uniform Securities Agent State Law Examination 1982-11-15
  • S65 Uniform Investment Adviser Law Examination
    2008-09-02
  • S63 Uniform Securities Agent State Law Examination
    1982-11-15

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