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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2010-06-23
CT RA APPROVED 2010-02-17
TX RA APPROVED_RES 2001-01-23
  • PA RA
    APPROVED
    Since 2010-06-23
  • CT RA
    APPROVED
    Since 2010-02-17
  • TX RA
    APPROVED_RES
    Since 2001-01-23

Branch Locations

180 Fort Couch Rd, Upper Saint Clair, PA 15241 • United States

Pittsburgh, PA • 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 Pittsburgh PA 01/2001 Present
Bank Of America,N.A. Upper St. Clair PA 06/2011 Present
Other Businesses

I*390605 For profit or not for profit: Entity Charitable Name of outside business organization: The Joe Humphreys Student Angling Fund Investment related: N Address of business: University Park, Pennsylvania, 16802 Nature of business: ["Charitable Organization"] Position, title, association: ["Committee"], [["Fundraising committee"]] Start date of relationship: 6/25/2021 Number of hours devoted: 6 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Raise funds to fund an endowment for the first fly fishing curriculum program in the United States in the name of a fly fishing legend who taught the course for many years. I*105142 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: UPPER ST CLAIR SCHOOL DISTRICT INVESTMENT RELATED: N ADDRESS OF BUSINESS: UPPER ST CLAIR, PENNSYLVANIA 15241 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 6/30/2017 NUMBER OF HOURS DEVOTED: 3 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I HAVE BEEN ASKED TO SERVE ON A COMMITTEE CHARGED WITH RAISING FUNDS FOR THE BENEFIT OF THE UPPER ST CLAIR HIGH SCHOOL STADIUM RENOVATION.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-02-16
S63 Uniform Securities Agent State Law Examination 1987-01-27
  • S66 Uniform Combined State Law Examination
    2010-02-16
  • S63 Uniform Securities Agent State Law Examination
    1987-01-27

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