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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 2026-07-31
ME RA APPROVED 2026-07-10
  • TX RA
    APPROVED
    Since 2026-07-31
  • ME RA
    APPROVED
    Since 2026-07-10

Branch Locations

251 Route 1, Falmouth, ME 04105 • 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
Bank Of America, N.A. Scarborough ME 05/2026 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Scarborough ME 04/2026 Present
Bank Of America Portland ME 10/2024 04/2026
Bank Of America Falmouth ME 06/2023 10/2024
University Of Maine Orono ME 08/2021 04/2023
Collegiate Entrepreneurs Orono ME 11/2021 08/2022
University Of Maine At Machias Machias ME 09/2019 03/2020
Walmart Calais ME 11/2018 02/2019
Bold Coast Academy Dennysville ME 04/2016 10/2018
University Of Maine Machias Machias ME 09/2019 05/2023
University Of Maine Orono ME 08/2020 05/2023
Unemployed Dennysville ME 02/2019 08/2019
  • 05/2026 → Present
    Bank Of America, N.A.
    Scarborough, ME
  • 04/2026 → Present
    Scarborough, ME
  • 10/2024 → 04/2026
    Bank Of America
    Portland, ME
  • 06/2023 → 10/2024
    Bank Of America
    Falmouth, ME
  • 08/2021 → 04/2023
    University Of Maine
    Orono, ME
  • 11/2021 → 08/2022
    Collegiate Entrepreneurs
    Orono, ME
  • 09/2019 → 03/2020
    University Of Maine At Machias
    Machias, ME
  • 11/2018 → 02/2019
    Walmart
    Calais, ME
  • 04/2016 → 10/2018
    Bold Coast Academy
    Dennysville, ME
  • 09/2019 → 05/2023
    University Of Maine Machias
    Machias, ME
  • 08/2020 → 05/2023
    University Of Maine
    Orono, ME
  • 02/2019 → 08/2019
    Unemployed
    Dennysville, ME
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2025-09-06
S65 Uniform Investment Adviser Law Examination 2025-09-06
  • S63 Uniform Securities Agent State Law Examination
    2025-09-06
  • S65 Uniform Investment Adviser Law Examination
    2025-09-06
Other Names
  • Ken Doughty
  • Kendrik Doughty

View on SEC IAPD

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