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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 2021-05-01
TX RA APPROVED_RES 1996-05-16
  • NY RA
    APPROVED
    Since 2021-05-01
  • TX RA
    APPROVED_RES
    Since 1996-05-16

Branch Locations

2 Court St, Binghamton, NY 13901 • United States

Endicott, NY • 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 Binghamton NY 09/1984 Present
Bank Of America, N.A. Binghamton NY 07/2011 Present
Other Businesses

I*122437 For profit or not for profit: Non-Profit Organization Name of outside business organization: Lourdes Hospital Foundation Investment related: N Address of business: Binghamton, New York 13905 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 4/12/2019 Number of hours devoted: 1 hour(s) Quarterly Number of hours devoted during trading hours: 1 Duties: Board member- vote on capital improvement projects for the hospital. Fundraising I*123091 For profit or not for profit: Non-Profit Organization Name of outside business organization: Catholic Docese of Syracuse Investment related: N Address of business: Syracuse, New Mexico 13202 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 5/8/2019 Number of hours devoted: 1 hour(s) Quarterly Number of hours devoted during trading hours: 1 Duties: as a group we are a sounding board for the CFO of the diocese. I*132763 For profit or not for profit: Non-Profit Organization Name of outside business organization: Lourdes Hospital Foundation Investment related: N Address of business: Binghamton, New York 13901 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 8/25/2020 Number of hours devoted: 1 hour(s) Quarterly Number of hours devoted during trading hours: 1 Duties: collective committee that oversees fundraising goals/objectives along with grant payments and commitments. The committee also oversees the foundations investment policy, spending policy, along with performance of foundation investment assets.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1985-03-15
  • S63 Uniform Securities Agent State Law Examination
    1985-03-15

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