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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 2010-06-29
TX RA APPROVED_RES 2001-07-23
  • PA RA
    APPROVED
    Since 2010-06-29
  • TX RA
    APPROVED_RES
    Since 2001-07-23

Branch Locations

600 Hamilton St, Allentown, PA 18101 • 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 Allentown PA 12/1983 Present
Bank Of America, N.A. Bethlehem PA 05/2011 Present
Other Businesses

I*91747For profit or not for profit: For-Profit OrganizationName of outside business organization: Cedar LLCInvestment related: NAddress of business:Center Valley, Pennsylvania 18034Nature of business: LLC,Position, title, association: Owner, Start date of relationship: 3/19/2016Number of hours devoted: 4 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: Vacant building lot

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-10-01
S63 Uniform Securities Agent State Law Examination 1984-03-01
  • S65 Uniform Investment Adviser Law Examination
    1993-10-01
  • S63 Uniform Securities Agent State Law Examination
    1984-03-01
Other Names
  • Glenn Baumer

View on SEC IAPD

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