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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
NJ RA APPROVED 2021-02-19
TX RA APPROVED_RES 2009-04-17
CT RA APPROVED 2007-04-02
  • NY RA
    APPROVED
    Since 2021-04-19
  • NJ RA
    APPROVED
    Since 2021-02-19
  • TX RA
    APPROVED_RES
    Since 2009-04-17
  • CT RA
    APPROVED
    Since 2007-04-02

Branch Locations

900 South Ave, Staten Island, NY 10314 • 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 Staten Island NY 02/1982 Present
Bank Of America, N.A. Staten Island NY 07/2011 Present
Other Businesses

I*3370267 Entity Type: Fiduciary role Name of OBA: M. A. Address: Englishtown, New Jersey, 7726 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 12/24/2025 Number of Hours: 1, Monthly Number of Hours during trading: 1, Monthly Duties: Power of Attorney/Parents

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1988-08-31
  • S63 Uniform Securities Agent State Law Examination
    1988-08-31

View on SEC IAPD

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