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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2025-01-13
TX RA APPROVED 2025-01-13
  • CT RA
    APPROVED
    Since 2025-01-13
  • TX RA
    APPROVED
    Since 2025-01-13

Branch Locations

185 Asylum St City Place Ii, 14Th Fl, Hartford, CT 06103 • 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 (Org West Springfield MA 05/2024 Present
United States Army, Rhode Island National Guard East Greenwich RI 05/2019 Present
Seacraft Narragansett RI 09/2022 05/2024
Voya Financial Windsor CT 05/2023 09/2023
Doordash San Fransico CA 01/2022 05/2024
Rocky Hill High School Rocky Hill CT 09/2015 06/2019
University Of Rhode Island South Kingston RI 09/2020 04/2024
Big Y Foods Newington CT 06/2018 09/2018
Fichandler Enterprises Rocky Hill CT 06/2019 09/2019
Briad Group Newington CT 06/2017 09/2017
Bank Of America, N.A. West Springfield MA 07/2024 Present
  • 05/2024 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated (Org
    West Springfield, MA
  • 05/2019 → Present
    United States Army, Rhode Island National Guard
    East Greenwich, RI
  • 09/2022 → 05/2024
    Seacraft
    Narragansett, RI
  • 05/2023 → 09/2023
    Voya Financial
    Windsor, CT
  • 01/2022 → 05/2024
    Doordash
    San Fransico, CA
  • 09/2015 → 06/2019
    Rocky Hill High School
    Rocky Hill, CT
  • 09/2020 → 04/2024
    University Of Rhode Island
    South Kingston, RI
  • 06/2018 → 09/2018
    Big Y Foods
    Newington, CT
  • 06/2019 → 09/2019
    Fichandler Enterprises
    Rocky Hill, CT
  • 06/2017 → 09/2017
    Briad Group
    Newington, CT
  • 07/2024 → Present
    Bank Of America, N.A.
    West Springfield, MA
Other Businesses

I*1880279 Name of the other businessU.S. Army National Guard Whether the business is investment-relatedNo Address of the other businessEast Greenwich, Rhode Island, 02818 Nature of the other businessGovernmental Organization Your positionEmployee Title, or relationship with the other businessEnlisted Airborne Infantryman in the Rhode Island National Guard Start date of your relationshipMay 31, 2019 Approximate number of hours/month you devote to the other business72 Number of hours you devote to the other business during securities trading hours8 Briefly describe your duties relating to the other businessI train a weekend a month and 2 weeks in the summer as an airborne infantry soldier to be prepared to defend and serve my country.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-11-22
  • S66 Uniform Combined State Law Examination
    2024-11-22
Other Names
  • Robert Mario Rosa

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