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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 2008-04-29
NJ RA APPROVED 2008-04-28
  • TX RA
    APPROVED_RES
    Since 2008-04-29
  • NJ RA
    APPROVED
    Since 2008-04-28

Branch Locations

100 Campus Dr, Florham Park, NJ 07932 • 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 Florham Park NJ 04/2008 Present
Bank Of America, N.A. Florham Park NJ 12/2009 Present
Previous Registrations
Other Businesses

I*44170 For profit or not for profit: For-Profit Organization Name of outside business organization: Ty-Linds Gibbons LLC DBA Little Black Dress Papery Investment related: N Address of business: Morristown, New Jersey 07960 Nature of business: LLC, Position, title, association: Family Held, Start date of relationship: 8/15/2003 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: I am an authorized user on my wife's small business checking account.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-06-10
S63 Uniform Securities Agent State Law Examination 1983-12-12
  • S65 Uniform Investment Adviser Law Examination
    2003-06-10
  • S63 Uniform Securities Agent State Law Examination
    1983-12-12

View on SEC IAPD

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