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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
TX RA APPROVED_RES 2015-08-27
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2015-08-27

Branch Locations

21 Masse Pl, Batavia, NY 14020 • 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 Batavia NY 02/2008 Present
Bank Of America, N.A. Batavia NY 06/2011 Present
Other Businesses

I*43231FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: ROUNDTABLE ATHLETIC ASSOC. ADVISORY BOARD TO THE GINVESTMENT RELATED: NADDRESS OF BUSINESS:GENESEO, NEW YORK 14454NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 7/13/2011NUMBER OF HOURS DEVOTED: 4 HOUR(S) QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: MAKE RECOMMENDATIONS ON FUNDING VARIOUS ATHLETIC PROGRAMS AT SUNY GENESEO TO THE FOUNDATION BOARD I*54905For profit or not for profit: Non-Profit OrganizationName of outside business organization: Eagle Star Housing, Inc.Investment related: NAddress of business:East Pembroke, New York 14056Nature of business: Charitable Organization,Position, title, association: Officer, Start date of relationship: 5/11/2012Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 1Duties: Non profit that provides housing for veterans. Board President I*2722261, Entity Type: , Name of OBA: A G, Address: Hilton, New York, 14468, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 08/11/2025, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: I*2747261, Entity Type: , Name of OBA: J T G, Address: Hilton, New York, 14468, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 08/16/2025, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: I*2747262, Entity Type: , Name of OBA: A J G, Address: Hilton, New York, 14469, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 08/16/2025, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: I*2747263, Entity Type: , Name of OBA: A J G AND J T G, Address: Hilton, New York, 14468, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 08/16/2025, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-06-25
S63 Uniform Securities Agent State Law Examination 1987-10-14
  • S65 Uniform Investment Adviser Law Examination
    1993-06-25
  • S63 Uniform Securities Agent State Law Examination
    1987-10-14

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