Andrew Peale Allen

Current Employers

Employment History

• 09/2016 → 12/2024
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 09/2016 → 12/2024
  Bank Of America, N.A.
  New York, NY
• 05/2016 → 09/2016
  Unemployed
  Southport, CT
• 12/2024 → Present
  City National Securities, Inc.
  New York, NY

Previous Registrations

• 2017-02-28 → 2024-12-10
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
  Greenwich, CT
  New York, NY
  Westport, CT

Other Businesses

I*99077 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SUGAR TREE FARM, LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: MARBLEHEAD, MASSACHUSETTS 1945 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OTHER, MEMBER START DATE OF RELATIONSHIP: 12/7/2015 NUMBER OF HOURS DEVOTED: 5 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: 33% MEMBER. REAL ESTATE HOLDING ENTITY. HOLDS AND MANAGES A SINGLE REAL ESTATE PROPERTY I*99073 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: PEALE FOUNDATION, INC INVESTMENT RELATED: N ADDRESS OF BUSINESS: PAWLING, NEW YORK 12564 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: OTHER, MEMBER START DATE OF RELATIONSHIP: 35310 NUMBER OF HOURS DEVOTED: 5 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: DELAWARE NOT FOR PROFIT CORPORATION THAT SUPPORTS ORGANIZATIONS THAT CARRY FORWARD THE MESSAGE OF NORMAN VINCENT PEALE AND SUPPORTS THE CAUSES AND ORGANIZATIONS THAT EXPRESS, PROMOTE AND ARE CONSISTENT WITH THE VALUES, BELIEFS AND IDEALS OF NVP. FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ADAM J. LEWIS ACADEMY INVESTMENT RELATED: N ADDRESS OF BUSINESS: BRIDGEPORT, CT 06604 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: DIRECTOR START DATE OF RELATIONSHIP: SEPTEMBER 2024 NUMBER OF HOURS DEVOTED: 5 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: K-8 NON-PROFIT SCHOOL the name of the other business; - The Ehrhardt Family Delaware Trust Agreement whether the business is investment-related; non investment-related the address of the other business; - Gordon, Fournaris and Mammarella PA 1925 Lovering Avenue Wilmington, DE 19806 the nature of the other business; - The entity is a Delaware Trust. your position/title/relationship with the other business; - Investment Direction Advisor the start date of your relationship; - 2025-06-25 the approximate number of hours/month you devote to the other business; - 0.25 the number of hours you devote to the other business during securities trading hours; - 0 and briefly describe your duties relating to the other business; - Refer to TENTH section of trust document (pages 20-26)

Exams

• S66 Uniform Combined State Law Examination
  2017-02-27

Other Names

• Andrew Allen
• Andy Allen