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
NY RA APPROVED 2021-04-19
TX RA APPROVED_RES 2012-09-06
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2012-09-06

Branch Locations

1325 Franklin Ave, Garden City, NY 11530 • 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 New York NY 04/1985 Present
Bank Of America, Na New York NY 12/2009 Present
Other Businesses

FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: MOLLOY COLLEGE IRISH STUDIES INSTITUTE INVESTMENT RELATED: N ADDRESS OF BUSINESS: 1000 HEMPSTEAD AVENUE, ROCKVILLE CENTRE, NEW YORK 11571 POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 9/20/2012 NUMBER OF HOURS DEVOTED: 1 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 DUTIES: THE IRISH STUDIES INSTITUTE AT MOLLOY COLLEGE ILLUMINATES AND ARTICULATES THE CENTRAL ROLE IRISH AMERICANS HAVE PLAYED AND CONTINUE TO PLAY IN THE UNITED STATES AND EXTENDS AND ENRICHES EXCHANGES BETWEEN IRISH AMERICANS AND THOSE FROM OTHER CULTURES I*28617 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: FRIENDLY SONS OF ST PATRICK INVESTMENT RELATED: N ADDRESS OF BUSINESS: 6 CRYSTAL BROOK COURT, ISLIP, NEW YORK 11751 NATURE OF BUSINESS: OTHER, NOT FOR PROFIT FRATERNAL ORGANIZATION POSITION, TITLE, ASSOCIATION: OTHER, PAST PRESIDENT AND CURRENT MEMBER START DATE OF RELATIONSHIP: 11/1/2009 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: OFFICER DONATE FUNDS TO IRISH CHARITIES

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-01-30
S63 Uniform Securities Agent State Law Examination 1989-02-03
  • S65 Uniform Investment Adviser Law Examination
    1995-01-30
  • S63 Uniform Securities Agent State Law Examination
    1989-02-03

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Garden City, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor