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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 2023-01-26
NH RA APPROVED 2023-01-11
  • TX RA
    APPROVED_RES
    Since 2023-01-26
  • NH RA
    APPROVED
    Since 2023-01-11

Branch Locations

100 Market St, Portsmouth, NH 03801 • 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
Axa Advisors, Llc New York NY 06/2019 06/2020
Financial Compass Group, Llc Wellesley MA 05/2018 08/2018
Putnam Investments Andover MA 12/2017 05/2018
The Provident Bank Amesbury MA 05/2017 08/2017
Bentley University Waltham MA 08/2017 05/2019
Fire Grill Charleston SC 01/2017 05/2017
College Of Charleston Charlestown SC 08/2015 05/2017
Equitable Advisors, Llc New York NY 08/2019 10/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Portsmouth NH 11/2022 Present
Surf Restaurant Portsmouth NH 06/2015 05/2017
Darden Restaurants Chestnut Hill MA 09/2019 12/2019
Bank Of America, N.A. Portsmouth NH 01/2023 Present
  • 06/2019 → 06/2020
    Axa Advisors, Llc
    New York, NY
  • 05/2018 → 08/2018
    Financial Compass Group, Llc
    Wellesley, MA
  • 12/2017 → 05/2018
    Putnam Investments
    Andover, MA
  • 05/2017 → 08/2017
    The Provident Bank
    Amesbury, MA
  • 08/2017 → 05/2019
    Bentley University
    Waltham, MA
  • 01/2017 → 05/2017
    Fire Grill
    Charleston, SC
  • 08/2015 → 05/2017
    College Of Charleston
    Charlestown, SC
  • 08/2019 → 10/2022
    New York, NY
  • 11/2022 → Present
    Portsmouth, NH
  • 06/2015 → 05/2017
    Surf Restaurant
    Portsmouth, NH
  • 09/2019 → 12/2019
    Darden Restaurants
    Chestnut Hill, MA
  • 01/2023 → Present
    Bank Of America, N.A.
    Portsmouth, NH
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-11-15
  • S66 Uniform Combined State Law Examination
    2019-11-15

View on SEC IAPD

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