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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
  • NY RA
    APPROVED
    Since 2021-04-19

Branch Locations

1241 Pittsford Victor Rd, Pittsford, NY 14534 • 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 Rochester NY 11/1994 Present
Bank Of America, Na Pittsford NY 09/2009 Present
Other Businesses

I*41906 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: MONROE COMMUNITY COLLEGE FOUNDATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: ROCHESTER, NEW YORK 14604 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 8/1/2011 NUMBER OF HOURS DEVOTED: 2 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: NON-BOARD COMMITTEE MEMBER OF THE FINANCE AND INVESTMENT COMMITTEE. ASSIST WITH OVERSIGHT OF BUDGET AND INVESTMENT ACTIVITIES. I*122308 For profit or not for profit: Non-Profit Organization Name of outside business organization: Greater Rochester Health Foundation Investment related: N Address of business: Rochester, New York 14614 Nature of business: Charitable Organization, Position, title, association: , Start date of relationship: 8/1/2019 Number of hours devoted: 2 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: RGHF is an independent not for profit foundation dedicated to improving the health status of residents of the greater Rochester community through grant making and partnerships with other health related organizations within the 9 county area. I*128688 For profit or not for profit: Non-Profit Organization Name of outside business organization: University of Rochester Medical Center Investment related: N Address of business: rochester, New York 14642 Nature of business: Charitable Organization, Position, title, association: Director, Start date of relationship: 2/1/2020 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 1 Duties: The University of Rochester Medical Center encompasses Strong Memorial Hospital , it's Medical Schools and affiliated hospitals. This board responsibility is to "Govern" not " Manage" the overall organization.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-06-25
S63 Uniform Securities Agent State Law Examination 1984-01-04
  • S65 Uniform Investment Adviser Law Examination
    1996-06-25
  • S63 Uniform Securities Agent State Law Examination
    1984-01-04
Other Names
  • Ken Hines

View on SEC IAPD

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