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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
CT RA APPROVED 2016-04-15
TX RA APPROVED_RES 1994-02-07
  • NY RA
    APPROVED
    Since 2021-04-19
  • CT RA
    APPROVED
    Since 2016-04-15
  • TX RA
    APPROVED_RES
    Since 1994-02-07

Branch Locations

225 Liberty St, New York, NY 10281 • United States

Mystic, CT • United States

Brooklyn, NY • 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 02/1994 Present
Bank Of America, N.A. New York NY 01/2010 Present
Other Businesses

I*955248, Entity Type: Entity For Profit, Name of OBA: CopyCopy, Address: Brooklyn, New York, 11201, Investment Related: N, Position, Title, Association: ["Other"], Employee Start Date: 08/01/2026, No Hours: 100 Yearly, No Hours during Trading: 0 Yearly, Duties: I play bass guitar - we periodically rehearse together, play in bars or other events. I play bass guitar in a cover band.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-08-23
S63 Uniform Securities Agent State Law Examination 1987-09-14
  • S65 Uniform Investment Adviser Law Examination
    1994-08-23
  • S63 Uniform Securities Agent State Law Examination
    1987-09-14

View on SEC IAPD

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