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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2011-04-01
TX RA APPROVED_RES 2005-01-18
MD RA APPROVED 1998-10-27
  • VA RA
    APPROVED
    Since 2011-04-01
  • TX RA
    APPROVED_RES
    Since 2005-01-18
  • MD RA
    APPROVED
    Since 1998-10-27

Branch Locations

39 E Churchville Rd, Bel Air, MD 21014 • United States

9000 Southside Blvd Workplace Benefits, Jacksonville, FL 32256 • 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 Bel Air MD 10/1998 Present
Other Businesses

RENTAL PROPERTIES - PARTNER/INVESTOR PROPERTIES ARE HELD FOR INVESTMENT PURPOSES THESE ARE INVESTMENT PROPERTIES HELD JOINTLY WITH MY HUSBAND. CORRESPONDENCE IS RECEIVED AT MY HOME ADDRESS IN BEL AIR, MD 21015 OR AT MY HUSBAND'S BUSINESS ADDRESS: 3 VALE ROAD, BEL AIR, MD 21014 START DATE OF OWNERSHIP VARIES WITH EACH PROPERTY. WE BEGAN ACQUIRING PROPERTY IN APPROXIMATELY 1995 (?). I DEVOTE 0 HOURS TO THE PROPERTIES. I HAVE ABSOLUTELY NO DUTIES WITH REGARD TO THESE PROPERTIES. I*: 2080274 Entity Type: School, College or University Name of OBA: University of Southern California Address: Los Angeles, CA 90089 Investment Related: NO Position, Title, Association: Other Employee Start Date: 01/14/2025 Number of Hours: 10hrs annually Number of Hours during trading: 0 Duties: Participate in a learning collaborative of diverse experts and community partners to identify, curate and disseminate planning resources for family caregivers and care recipients. Activities include reviewing research studies, reports, policies, services and programs focused on caregiver financial and workplace security.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-04-24
S63 Uniform Securities Agent State Law Examination 1991-02-07
  • S65 Uniform Investment Adviser Law Examination
    1997-04-24
  • S63 Uniform Securities Agent State Law Examination
    1991-02-07
Other Names
  • Cynthia Lorraine Fritz

View on SEC IAPD

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