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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 2002-09-03
CT RA APPROVED 1989-11-06
  • TX RA
    APPROVED_RES
    Since 2002-09-03
  • CT RA
    APPROVED
    Since 1989-11-06

Branch Locations

27 Coogan Blvd, Mystic, CT 06355 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated New Longdon CT 07/1977 Present
University Of New Haven New Haven CT 09/1978 Present
Bank Of America, N.A. New London CT 12/2009 Present
Us Coast Guard Academy New London CT 09/1991 Present
  • 07/1977 → Present
    New Longdon, CT
  • 09/1978 → Present
    University Of New Haven
    New Haven, CT
  • 12/2009 → Present
    Bank Of America, N.A.
    New London, CT
  • 09/1991 → Present
    Us Coast Guard Academy
    New London, CT
Other Businesses

I*34224 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: NSS REALTY INVESTMENT RELATED: Y ADDRESS OF BUSINESS: NEWLONDON, CONNECTICUT 6320 NATURE OF BUSINESS: GENERAL PARTNERSHIP, POSITION, TITLE, ASSOCIATION: GENERAL PARTNER, START DATE OF RELATIONSHIP: 1/1/1992 NUMBER OF HOURS DEVOTED: 20 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: GENERAL PARTNER MAKES ALL REAL ESTATE AND SECURITIES DECISIONS, ACTIVELY MANAGES, LEASES PROPERTIES. ACTIVELY SELECTS AND EXECUTES SECURITIES POSITIONS. I*37844 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: INSTRUCTOR FINANCE ECONOMICS US COAST GUARD ACADEM INVESTMENT RELATED: N ADDRESS OF BUSINESS: 31 MOHEGAN AVE, NEW LONDON, CONNECTICUT 6320 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 29194 NUMBER OF HOURS DEVOTED: 100 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 50 DUTIES: COLLEGE TEACHER (2)1.FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION 2.NAME OF OUTSIDE BUSINESS ORGANIZATION: JIMMY'S GUITARS ON STATE 3.INVESTMENT RELATED: N 4.ADDRESS OF BUSINESS: POB 26, 107 STATE STREET NEW LONDON, CONNECTICUT 6320 5.NATURE OF BUSINESS: SOLE PROPRIETORSHIP, 7.POSITION, TITLE, ASSOCIATION: OWNER, 8.START DATE OF RELATIONSHIP: 2/1/2013 9.NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY 10.NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 11.DUTIES: ORDER NEW GUITARS AND ASSECORIES FOR SPINDRIFT GUITARS STORE.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-06-28
S63 Uniform Securities Agent State Law Examination 1980-01-29
  • S65 Uniform Investment Adviser Law Examination
    2002-06-28
  • S63 Uniform Securities Agent State Law Examination
    1980-01-29

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