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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
TX RA APPROVED_RES 1996-03-29
  • PA RA
    APPROVED
    Since 2010-06-23
  • TX RA
    APPROVED_RES
    Since 1996-03-29

Branch Locations

724 W Lancaster Ave Pbig - Wayne, Wayne, PA 19087 • 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 Philadelphia PA 10/1987 Present
Bank Of America, N.A. Wayne PA 06/2011 Present
Other Businesses

I*67902For profit or not for profit: Non-Profit OrganizationName of outside business organization: Th Haverford SchoolInvestment related: NoAddress of business: Haverford, Pennsylvania 19041Position, title, association: TrusteeStart date of relationship: 1/1/2013Number of hours devoted: 3 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: board of trustees for the schoolI*: 584317Entity Type: CharitableName of OBA: CFP Board of DirectorsAddress: Washington, DC 20005Investment Related: NoPosition, Title, Association: Committee, Board MemberEmployee Start Date: 01/27/2022Number of Hours: 25 hrs mthlyNumber of Hours during trading: 0Duties: CFP Board of DirectorsI*3367268Entity Type: Fiduciary roleName of OBA: J. R K.Address: Malvern, Pennsylvania, 19355Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 12/31/2025Number of Hours: 1, WeeklyNumber of Hours during trading: 0Duties: Power of Attorney/In-LawsI*3368265Entity Type: Fiduciary roleName of OBA: J. R K.Address: Malvern, Pennsylvania, 19355Investment Related: NoPosition, Title, Association: ExecutorEmployee Start Date: 04/15/2027Number of Hours: 0Number of Hours during trading: 0Duties: Executor/In-Laws I*3470304 Entity Type: N/A Name of OBA: J R K PLEDGED TO ML LENDER Address: Malvern, Pennsylvania, 19355 Investment Related: No Position, Title, Association: Executor Employee Start Date: 11/13/2026 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: In-Laws I*3484266 Entity Type: N/A Name of OBA: J R K PLEDGED TO ML LENDER Address: malvern, Pennsylvania, 19355 Investment Related: No Position, Title, Association: Executor Employee Start Date: 11/13/2026 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: In-Laws

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-10-05
S63 Uniform Securities Agent State Law Examination 1987-09-10
  • S65 Uniform Investment Adviser Law Examination
    1994-10-05
  • S63 Uniform Securities Agent State Law Examination
    1987-09-10
Other Names
  • Peter Andrew Rohr

View on SEC IAPD

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