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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
ME RA APPROVED 2020-12-23
ID RA APPROVED 2020-12-03
TX RA APPROVED 2015-10-12
  • NY RA
    APPROVED
    Since 2021-04-19
  • ME RA
    APPROVED
    Since 2020-12-23
  • ID RA
    APPROVED
    Since 2020-12-03
  • TX RA
    APPROVED
    Since 2015-10-12

Branch Locations

Camden, ME • United States

225 Liberty St, New York, NY 10281 • 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 New York NY 09/2015 Present
Bank Of America, N.A. New York NY 11/2015 Present
Previous Registrations
Other Businesses

I*132359: Non-Profit Name : The University Club of New York Investment related: N Address of business: New York, New York 10019 Nature of business: Corporation, Position: Committee Member, Start date of relationship: 7/22/2020 Number of hours devoted: 1hr/Mo, During trading hours: 0Duties: As an already approved member of the Finance Committee, I was asked to serve as Secretary of the Committee for this year. I*86056 NON-PROFIT NAME: BOY SCOUTS OF AMERICA - GREATER NEW YORK COUNCILSINVESTMENT RELATED: NADDRESS OF BUSINESS:NEW YORK, NEW YORK 10118NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION: DIRECTOR, START DATE OF RELATIONSHIP: 10/1/1984NUMBER OF HOURS DEVOTED: 2hrs/Ann, DURING TRADING HOURS: 0DUTIES: MEMBER OF THE BOARD OF DIRECTORS I*90302 FOR-PROFIT NAME: 73 E AVENUE ASSOCIATESINVESTMENT RELATED: NADDRESS OF BUSINESS:NEW YORK, NEW YORK 10023NATURE OF BUSINESS: PARTNERSHIP,POSITION: GENERAL PARTNER, START DATE OF RELATIONSHIP: 7/1/2016NUMBER OF HOURS DEVOTED: 12hrs/Ann, DURING TRADING HOURS: 0DUTIES: RENTAL OF FAMILY PROPERTY ON A SUMMER SEASONAL BASIS I*106156 NON-PROFIT ORGANIZATION NAME THE UNIVERSITY CLUB OF NEW YORKINVESTMENT RELATED: NADDRESS OF BUSINESS:NEW YORK, NEW YORK 10019NATURE OF BUSINESS: OTHER, NON-PROFIT CLUB POSITION : COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 7/1/2017NUMBER OF HOURS DEVOTED: 3hrs/Mo, DURING TRADING HOURS: 0DUTIES: MEMBER OF THE FINANCE COMMITTEE - COMMITTEE SUPERVISES THE FINANCES OF THE CLUB: PROVIDES ANNUAL BUDGET ESTIMATES AND A FIVE YEAR CAPITAL BUDGET. IT OVERSEES BUT DOES NOT MANAGE/MAKE ANY INVESTMENT DECISIONS FOR THE CLUB'S RETIREMENT PLANS. I*86058 NON-PROFIT NAME CAMDEN PUBLIC LIBRARYINVESTMENT RELATED: NADDRESS OF BUSINESS: CAMDEN, MAINE 04843NATURE OF BUSINESS: OTHER,LIBRARYPOSITION: START DATE OF RELATIONSHIP: 08/07/2006NUMBER OF HOURS DEVOTED: 3hrs/Qtrly, DURING TRADING HOURS: 0DUTIES: OVERSIGHT OF THE OUTSIDE INVESTMENT ADVISOR FOR THE TRUSTS THAT SUPPORT THE LIBRARY I*137050 For-Profit Name: The University Club of New York Investment related: NAddress of business:New York, New York 10019Nature of business: Corporation, Compensation for Activity: N Position: Committee Member, Start date of relationship: 6/1/2021Number of hours devoted: 4hrs/Mo, During trading hours: 0, Duties: Assistant Treasurer. I have been on Finance Committee for 4 years with ML BoA approval. I would work on projects given to me by the Treasurer, including the annual budget. I*423892, for Profit, Name of OBA: The University Club of New York, Address: New York, NY, 10019, Investment Related: No, Position: Committee, Employee Start Date: 10/20/2024, No Hours: 3hrs/Mo, No Hours during trading: 0, Duties: The Executive Committee reviews and approves Capital Planning projects, Budgets, and Five Year Projections for presentation to Council. As a member of the Executive Committee, I am also on Council. Council members give final approval to plans and budgets. I*2184258, Entity Charitable, Name of OBA: Sun Valley Museum of Art, Address: Ketchum, Idaho, 83340, Investment Related: N, Position: Committee, Board Member, Employee State Date: 02/01/2025, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: As a member of the Board, we oversee all activities and finances of the Museum and discuss its future direction. The Sun Valley Museum of Art connects people to contemporary art and artists through exhibitions, education, programs, and projects. We welcome all, embrace curiosity and creativity, and believe in the power of art to link us to each other and to the larger world. I*404039 Entity Charitable, Name of OBA: The Ronald McDonald House of New York, Address: New York, New York, 10021, Investment Related: N, Position: Committee, Employee Start Date: 09/19/2012, No Hours: 9 Yearly, No Hours during Trading: 0 Yearly, Duties: The Finance Committee prepares budgets, monitors operating and capital expenses and generally over sees the operations of the House

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-09-30
S63 Uniform Securities Agent State Law Examination 1993-09-23
  • S65 Uniform Investment Adviser Law Examination
    1993-09-30
  • S63 Uniform Securities Agent State Law Examination
    1993-09-23
Other Names
  • Ellen R Harris

View on SEC IAPD

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