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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 2013-11-18
DC RA APPROVED 1994-08-08
MD RA APPROVED 1990-11-14
VA RA APPROVED 1987-09-11
  • TX RA
    APPROVED_RES
    Since 2013-11-18
  • DC RA
    APPROVED
    Since 1994-08-08
  • MD RA
    APPROVED
    Since 1990-11-14
  • VA RA
    APPROVED
    Since 1987-09-11

Branch Locations

8075 Leesburg Pike, Vienna, VA 22182 • 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 Vienna VA 04/1985 Present
#Ia Merrill Lynch, Pierce, Fenner & Smit Vienna VA 04/1985 Present
Bank Of America, N.A. Vienna VA 12/2009 Present
Other Businesses

I*87276 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: FAIRFAX COUNTY PUBLIC SCHOOL/MCLEAN HIGH SCHOOL INVESTMENT RELATED: N ADDRESS OF BUSINESS: MCLEAN, VIRGINIA 22101 NATURE OF BUSINESS: OTHER, FAIRFAX COUNTY PUBLIC SCHOOLS POSITION, TITLE, ASSOCIATION: OTHER, COACH START DATE OF RELATIONSHIP: 10/2/2007 NUMBER OF HOURS DEVOTED: 240 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 10 DUTIES: MCLEAN HIGH SCHOOL VARSITY SOFTBALL COACH ASS'T. MEN'S VARSITY BASKETBALL COACH I*123722 For profit or not for profit: Non-Profit Organization Name of outside business organization: McLean Youth Athletics Investment related: N Address of business: McLean, Virginia 22106 Nature of business: Charitable Organization, Position, title, association: Participant, Start date of relationship: 12/1/2008 Number of hours devoted: 50 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Referee youth basketball. I*2137293, Entity Type: Fiduciary, Name of OBA: M T TTEE U/A DTD 07/14/2020 BY MRS G T, Address: Falls Church, Virginia, 22043, Investment Related: N, Position, Title, Association: Trustee, Employee Start Date: 27-Dec-2024, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-06-29
S63 Uniform Securities Agent State Law Examination 1985-08-16
  • S65 Uniform Investment Adviser Law Examination
    1994-06-29
  • S63 Uniform Securities Agent State Law Examination
    1985-08-16

View on SEC IAPD

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