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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2010-06-18
TX RA APPROVED_RES 1986-07-21
  • PA RA
    APPROVED
    Since 2010-06-18
  • TX RA
    APPROVED_RES
    Since 1986-07-21

Branch Locations

101 West Ave, Jenkintown, PA 19046 • 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 Jenkintown PA 03/1973 Present
Bank Of America, N.A. Jenkintown PA 06/2011 Present
Other Businesses

I*136559 For-Profit Organization Name: One Energy Investment related: N Address : Gwynedd Valley, PA 19437 owner Start date: 3/4/2021 Number of hrs : 2 hour(s) Quarterly Number of hrs during trading hours: 0 Duties: author of novel I*34480 FOR-PROFIT ORGANIZATION NAME: WALKING WITH THE ANALYSTS INVESTMENT RELATED: Y ADDRESS: GWYNEDD VALLEY, PA 19437 NATURE OF BUSINESS: OTHER,BOOK AUTHOR START DATE 3/4/2008 NUMBER OF HRS : 10 HOUR(S) MONTHLY NUMBER OF HRS DURING TRADING HOURS: 0 DUTIES: BOOKS/AUTHORSHIP I*74144 NON-PROFIT ORGANIZATION NAME: TROY UNIVERSITY FOUNDATION INVESTMENT RELATED: N ADDRESS :TROY, AL 36082 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION:ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 9/13/2014 NUMBER OF HRS : 10 HOUR(S) QUARTERLY NUMBER OF HRS DURING TRADING HOURS: 0 DUTIES: FOUNDATION BOARD. GENERAL ADVISORY POSITION ON THE BOARD. I*83256 NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: TURNING FINAL INVESTMENT RELATED: N ADDRESS OF BUSINESS: GWYNEDD VALLEY, PA 19437 NATURE OF BUSINESS: OTHER,OWNER POSITION: OWNER, START DATE OF RELATIONSHIP: 7/31/2015 NUMBER OF HRS : 5 HOUR(S) MONTHLY NUMBER OF HRS DURING TRADING HOURS: 0 DUTIES: AUTHOR OF NOVEL I*86969 FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS: RUNNING WITH THE ANAYLSTS INVESTMENT RELATED: N ADDRESS OF BUSINESS:GWYNEDD VALLEY, PA 19437 NATURE OF BUSINESS: OTHER,OWNER POSITION: OWNER, START DATE OF RELATIONSHIP: 1/4/2011 NUMBER OF HRS : 1 HOUR(S) MONTHLY NUMBER OF HRS DURING TRADING HRS: 0 DUTIES: FICTIONAL NOVEL I*421662 For profit or not for profit: Entity For Profit Name of outside business organization: The Trillion Dollar Sure Thing Investment related: N Address of business: Gwynedd Valley, Pennsylvania, 19437 Nature of business: ["Sole Proprietorship"] Position, title, association: ["Owner"], Start date of relationship: 2/21/2014 Number of hours : 25 hour(s) Yearly Number of hours during trading hours: 0 Duties: , The product is fictional novel I*103651 For-Profit Organization Name of outside business: Mallach Productions LLC Investment related: N Address of business: Gwynedd Valley, PA 19437 Nature of business: LLC, Position: Owner, Start date of relationship: 3/20/2017 Number of hrs : 8 hour(s) Monthly Number of hrs during trading hours: 0 Duties: LLC to promote pre-approved novels. I*120559 For-Profit Organization Name of outside business: Gravity DividedAddress of business: Gwynedd Valley, PA 19437Nature of business: Other,owner Position: Consultant, Start date of relationship: 2/25/2019 Number of hours devoted: 3 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: author of novel I*101371 For-Profit Organization Angle of Attack NGwynedd Valley, PA 19437 Other,ownerOwner, 1/6/20175 hour(s) Monthly Number of hours devoted during trading hours: 0 author of novelI*60255For-Profit OrganizationThe Myth. A novel NGwynedd Valley, PA 19437Other,Book will be available on limited distribution.Owner,2/28/20130 I*793240 For profit or not for profit: Entity For Profit Name of outside business organization: Touching The Soul Investment related: N Address of business: Gwynedd Valley, PA 19437 Nature of business: ["Limited Liability Company"] Position, title, association: ["Other"], Start date of relationship: 8/18/2021 Number of hours : 10 hour(s) Monthly Number of hours during trading hours: 0 Duties: Author, Author of book. I*1192272 For profit or not for profit: Entity For Profit Name of outside business organization: League of Religions Investment related: N Address of business: Gwynedd Valley, PA 19437 Nature of business: ["Limited Liability Company"] Position, title, association: ["Other"], Start date of relationship: 2/21/2023 Number of hours : 10 hour(s) Monthly Number of hours during trading hours: 0 Duties: author, author of book I*1531282, For Profit, Dancing with the Analysts, 8/23/2002, ambler, Pennsylvania, 19002, Sole Proprietorship, 10 hrs/month, author

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-02-04
S63 Uniform Securities Agent State Law Examination 1986-06-24
  • S65 Uniform Investment Adviser Law Examination
    1999-02-04
  • S63 Uniform Securities Agent State Law Examination
    1986-06-24
Other Names
  • David Mallach
  • David Austin Mallach

View on SEC IAPD

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