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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 2010-06-22
TX RA APPROVED_RES 1995-08-22
  • PA RA
    APPROVED
    Since 2010-06-22
  • TX RA
    APPROVED_RES
    Since 1995-08-22

Branch Locations

600 Grant St, Pittsburgh, PA 15219 • United States

Export, PA • 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 Kensington PA 11/1982 Present
Bank Of America, Na New Kensington PA 12/2009 Present
Other Businesses

I*120493 For profit or not for profit: For-Profit Organization Name of outside business organization: NADCAM, INC. Investment related: N Address of business: Export, Pennsylvania 15632 Nature of business: Corporation, Position, title, association: Officer, Start date of relationship: 10/25/1994 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Has been a Dormant business structure from the onset, and has never become an active entity with any business whatsoever.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-10-28
S63 Uniform Securities Agent State Law Examination 1982-10-15
  • S65 Uniform Investment Adviser Law Examination
    1994-10-28
  • S63 Uniform Securities Agent State Law Examination
    1982-10-15

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