Best Investors Account Sign in
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2007-07-30
CT RA APPROVED 1992-05-15
  • TX RA
    APPROVED_RES
    Since 2007-07-30
  • CT RA
    APPROVED
    Since 1992-05-15

Branch Locations

301 Tresser Blvd, Stamford, CT 06901 • United States

Ridgefield, CT • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Stamford CT 09/1983 Present
Merrill Lynch, Pierce, Fenner & Smith In Stamford CT 09/1985 Present
Bank Of America, Na Stamford CT 09/2009 Present
Other Businesses

I*125268 For profit or not for profit: Non-Profit Organization Name of outside business organization: Silver Spring Country Club Investment related: No Address of business: Ridgefield, Connecticut 06877 Nature of business: Charitable Organization Position, title, association: Committee Member Start date of relationship: 7/31/2019 Number of hours devoted: 20 hours Monthly Number of hours devoted during trading hours: 0 Duties: Golf Committee I*11398 Entity Type: Fiduciary Role Name of outside business organization: Irrevocable Trust Investment related: No Address of business: Warren, Vermont 05674 Position, title, association: Start date of relationship: 12/24/2016 Number of hours devoted: 10 hours Annually Number of hours devoted during trading hours: 5 I*2175395 Entity Type not for profit Name of OBA: Ridgefield Boys and Girls Club Address: Ridgefield CT 06877 Investment Related: No Position, Title, Association: Committee Member Employee Start Date: 12/31/04 No Hours: 3 yearly No Hours during trading: 0 Duties: I'm on their Golf Tournament Committee.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-01-12
S63 Uniform Securities Agent State Law Examination 1985-12-31
  • S65 Uniform Investment Adviser Law Examination
    1994-01-12
  • S63 Uniform Securities Agent State Law Examination
    1985-12-31

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Stamford, CT

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor