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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 2024-04-06
  • CT RA
    APPROVED
    Since 2024-04-06

Branch Locations

29 S Main St, West Hartford, CT 06107 • United States

115 W Century Rd, Paramus, NJ 07652 • 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 West Hartford CT 01/1999 Present
Other Businesses

I*448672, Name of OBA: United Way of Greater New Haven Address: New haven, Connecticut Investment Related: No Position, Title, Association: Committee Employee Start Date: 09/01/2020 No Hours: 0 No Hours during trading: 0 Duties: Finance Committee; possible board spot in the future I* 1322256, Name of OBA: United Way of Greater New Haven Address: New haven, Connecticut Investment Related: No Position, Title, Association: Board Member Employee Start Date: 06/05/2023 No Hours: 2 No Hours during trading: Duties: Board of Directors I*1691268, Entity Type: Entity Charitable, Name of OBA: Connecticut Children's Medical Center, Address: Hartford, Connecticut, 06106, Investment Related: N, Position, Title, Association: Committee, Board Member, Employee State Date: 02/01/2024, No Hours: 8 Monthly, No Hours during Trading: 3 Monthly, Duties: Board member and Quality Control committee. General Board responsibilities - providing advice, council, etc on general operations, expansion, management, leadership etc. Quality committee is to gain a better understanding of the operations and duties as a board member. When it comes to discussions on any topics associated with Bank of America relationship i would excuse myself from those conversations. To date i have not had to do that. health care for children.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-04-05
  • S66 Uniform Combined State Law Examination
    2024-04-05

View on SEC IAPD

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