Merrill Lynch, Pierce, Fenner & Smith Inc.

Industry: Company

Description

Headquarters: New York City, NY Subsidiaries: MERRILL LYNCH PROFESSIONAL CLEARING CORP, Parent organizations: Bank of America, Merrill Lynch, BAC North America Holding Company

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Merrill Lynch, Pierce, Fenner & Smith Inc. Employees

Employee
Years
Job
Industry
Marc Dupraw Marc Dupraw Dallas/Fort Worth Area Details
Marc Dupraw's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience October 2007 - Present
Job AVP, Supervision Principal II, Merrill Lynch
Industry Financial Services
Experience
Merrill Lynch, Pierce, Fenner & Smith Inc.   October 2007 - Present
Charles Schwab & Co., Inc.   April 2003 - October 2007
Charles Schwab & Co, Inc.   June 2000 - August 2002
Charles Schwab & Co., Inc.   November 1990 - April 2000
Security Pacific  January 1989 - November 1990
Fidelity Investments  March 1984 - October 1988

Skills
Investments, Series 7, Series 63, Training, Financial Services, Wealth Management, Mutual Funds, FINRA

Education
University of North Texas   1980 — 1982
MBA, Marketing and Statistical Analysis

Ed Markovich, MBA,CFP® Ed Markovich, MBA,CFP® Greater Los Angeles Area Details
Ed Markovich, MBA,CFP®'s Merrill Lynch, Pierce, Fenner & Smith Inc. Experience September 1973 - December 1983
Job First Vice President Investment Officer at Wells Fargo Advisors, LLC
Industry Financial Services
Experience
Wells Fargo Advisors  March 2003 - Present
Wells Fargo Advisors, LLC  March 2003 - Present
UBS PaineWebber, Inc  February 1995 - April 2003
Prudential Securities  December 1983 - April 1995
Merrill Lynch, Pierce, Fenner & Smith Inc.   September 1973 - December 1983

Skills
Wealth Management, Investment Advisory, Retirement Planning, 401k Rollovers, IRA Rollovers, IRAs, Retirement, Mutual Funds, Series 7, Series 63, Series 65, Investment Strategies, Asset Allocation, Financial Planning, Investments

Education
College for Financial Planning   1982 — 1984
Certified Financial Planner, Financial Planning

Indiana University Bloomington   1967 — 1969
MBA

Bethany College West Virginia   1964 — 1967
Bachelor of Arts (B.A.), Economics

Jeremy Pettit Jeremy Pettit Dallas/Fort Worth Area Details
Jeremy Pettit's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience May 2006 - November 2008
Job Associate at Vinson & Elkins
Industry Law Practice
Experience
Vinson & Elkins  September 2014 - Present
Vinson and Elkins  May 2013 - July 2013
United States District Court for the District of Arizona  May 2012 - August 2012
Bank of America Merrill Lynch  July 2010 - August 2011
Bank of America  March 2009 - March 2011
Bank of America  November 2008 - March 2009
Merrill Lynch, Pierce, Fenner & Smith, Inc.   May 2006 - November 2008
Merrill Lynch Bank, USA  December 2004 - May 2006
Merrill Lynch Bank USA  August 2003 - December 2004
Merrill Lynch Bank USA  September 2001 - August 2003

Skills
Risk Management, Banking, Portfolio Management, Strategy, Credit Risk, Leadership, Product Management, Project Management, Cross-functional Team..., Business Analysis, Six Sigma, Vendor Management, Financial Modeling, Mergers & Acquisitions, Management, Investments, Finance, Financial Risk, Credit, Business Strategy, Loans, Program Management, Securities, Private Equity, Legal Research, Legal Writing, Financial Services, Corporate Finance, Due Diligence, Financial Analysis

Education
University of Pennsylvania Law School   2011 — 2014
JD

University of Pennsylvania - The Wharton School   2012 — 2014
Certificate in Management

Brigham Young University   1995 — 2001
BA

Walker Inabinet Walker Inabinet Columbia, South Carolina Details
Walker Inabinet's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience January 2013 - Present
Job Merrill Lynch, Pierce, Fenner & Smith Inc.
Industry Financial Services
Experience
Merrill Lynch, Pierce, Fenner & Smith Inc.   January 2013 - Present

Skills
Customer Service, Microsoft Office, Microsoft Excel, Licensing, PowerPoint, Public Speaking, Social Media, Financial Analysis, Insurance, Business Development, Retirement Planning, Wealth Management, Risk Management, Investments, Series 7, Strategic Financial..., Portfolio Management, Mutual Funds, Asset Management, Retirement, Equities, Financial Services, Fixed Income, Life Insurance, Credit, Banking, Commercial Banking, Valuation, Loans, Financial Planning

Education
University of South Carolina-Columbia   2008 — 2012
Bachelor of Science

Hammond School

Hamid Danmole Hamid Danmole Jacksonville, Florida Details
Hamid Danmole's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience July 2013 - Present
Job VP, CBRU at Merrill Lynch, Pierce, Fenner & Smith Inc.
Industry Financial Services
Experience
Merrill Lynch, Pierce, Fenner & Smith Inc.   July 2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc.   April 2013 - July 2013
Raymond James Financial Inc.  September 2012 - January 2013
Scottrade, Inc.   August 2011 - August 2012
WaMu Investments, Inc., a JP Morgan Chase Company   January 2007 - May 2009

Skills
Securities, USA PATRIOT Act, Risk Assessment, Risk Management, Bank Secrecy Act, Operations Management, AML, FINRA, Investments, Series 7, Financial Risk, Series 65, Series 63, Series 24, Mutual Funds, Financial Services, Uniform Combined State..., Investment Advisory, Trading, Investment Strategies, Process Improvement, Equities, Insurance, Wealth Management, Due Diligence, Asset Management, Fixed Income, Alternative Investments, Finance, Bloomberg, Options, Retirement Planning, Capital Markets, Hedge Funds, Portfolio Management, Strategic Financial..., Banking, Investment Management, Fixed Annuities, Financial Advisory, Retirement, ETFs, Series 6, 401k, Relationship Management, Asset Allocation, Estate Planning, Variable Annuities, Financial Markets, Credit

Education
Oklahoma State University
B.S., Finance and Accounting

Howard Longino Howard Longino Raleigh-Durham, North Carolina Area Details
Howard Longino's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience September 2012 - Present
Job Financial Advisor
Industry Investment Management
Experience
Merrill Lynch, Pierce, Fenner & Smith, Inc.   September 2012 - Present
Strategic Solutions - Mission First Consulting   May 2012 - September 2014
The Redwoods Group  February 2006 - May 2012
The Redwoods Group  2006 - May 2012
YMCA Camp Sea Gull   1998 - 2005

Skills
Strategic Planning, Risk Management, Leadership Development, Customer Relations, Board Development, Program Development, Development Of Teams, Innovative Problem..., Conference Speaking, Board Presentations, Sales Management, Program Management, Insurance, Non-profits, Salesforce.com, Coaching, Team Building, Nonprofits, Customer Service, Public Speaking, Business Strategy, Leadership, Training, Social Media Marketing, Fundraising, Marketing Strategy, Entrepreneurship, Employee Relations, Volunteer Management, Budgets, Team Leadership, Event Planning, Microsoft Office, Staff Development, Community Outreach, Strategy, Marketing, Management, Data Analysis, Event Management, Business Development, Analysis, Social Media, Public Relations, Social Networking, Project Management, Account Management, Negotiation, Market Research, Policy

Education
College of Charleston   1991 — 1997
BA, English

Highland Park High School   1986 — 1989

William Bird William Bird Greater New York City Area Details
William Bird's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience 1993 - 1997
Job Equity Research Analyst at FBR
Industry Investment Management
Experience
FBR  October 2013 - Present
Lazard Capital Markets  November 2010 - October 2013
Bank of America / Merrill Lynch  2009 - November 2010
Steinberg Asset Management  September 2007 - July 2009
Citigroup Smith Barney  May 1997 - September 2007
Merrill Lynch, Pierce, Fenner & Smith Inc.   1993 - 1997
Meadowcroft   1991 - 1992

Skills
Equity Research, Investments, Portfolio Management, Stocks, Financial Modeling, Equities, Alternative Investments, Valuation, Series 7, Hedge Funds, Asset Management, Investor Relations, Strategic Planning, Business Strategy, Bloomberg, Equity Valuation, Finance, Investment Banking, Capital Markets

Education
Harvard University   1984 — 1988
BA, History

Duke University - The Fuqua School of Business   1991 — 1993
MBA, Finance

Syosset High School

Edward Rusowicz Edward Rusowicz Orange County, California Area Details
Edward Rusowicz's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience September 1998 - October 2002
Job Wealth Manager / CFP® Practitioner
Industry Investment Management
Experience
NFP Securities, Inc.   2005 - Present
Merrill Lynch, Pierce, Fenner & Smith, Inc.   September 1998 - October 2002
A&M Records, Inc.   January 1994 - December 1998

Education
New York Institute of Technology   2005 — 2007
MBA, Strategy & Economics; Project Management

Rensselaer Polytechnic Institute   1987 — 1991
Bachelor of Science, Industrial/Management Engineering

John McGough John McGough Charlotte, North Carolina Details
John McGough's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience February 2007 - April 2011
Job Director at Regions Financial Corporation
Industry Capital Markets
Experience
Regions Financial Corporation  June 2013 - Present
BlackRock  September 2011 - May 2013
Leading Real Estate Banking Executives in Charlotte NC Group   August 2011 - May 2013
Merrill Lynch, Pierce, Fenner & Smith Inc.   February 2007 - April 2011
Merrill Lynch, Pierce, Fenner & Smith Inc.   February 2003 - February 2007
Banc of America Securities LLC / Merrill Lynch   February 2000 - February 2003
Banc of America Securities LLC / Merrill Lynch   January 1997 - February 2000
CB Richard Ellis  January 1996 - January 1997

Skills
Joint Ventures, Syndications, IPO, Business Strategy, Negotiation, Client Development, Client Interfacing, Credit Analysis, Underwriting, Loan Structuring, Loan Origination, Construction Loans, Real Estate Finance, Market Analysis, Project Finance, Corporate Finance, Corporate Real Estate, Recruitment/Retention, Leadership Development, Agency Relations, Agency Agreements, Fannie Mae, Freddie Mac, Real Estate Economics, Financial Structuring, Capital Markets, Asset Managment, Due Diligence, CRM, Finance, Credit, Banking, Investment Properties, Valuation, Loans, Real Estate, Portfolio Management, Investments, Structured Finance, Mergers & Acquisitions, Commercial Mortgages, Commercial Real Estate, Financial Modeling, Investment Banking, Private Equity, Fixed Income, Equities, Hedge Funds, Financial Services, Financial Analysis

Education
Ohio University   1988 — 1992
BA, Political Science

Richard Trotta Richard Trotta North Palm Beach, Florida Details
Richard Trotta's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience 1989 - 1999
Job Financial Advisor, Managing Director at Ameriprise Financial Services, Inc.
Industry Financial Services
Experience
Ameriprise Financial Services, Inc.   2012 - Present
Morgan Stanley Smith Barney  2009 - 2012
Citigroup Global Markets  2005 - 2009
Wachovia Securities, LLC  1999 - 2005
First Union Capital Markets Corp.   March 1999 - October 1999
Merrill Lynch, Pierce, Fenner & Smith Inc.   1989 - 1999

Education
Mercer University   1977 — 1980
Bachelor's Degree, Physics, Magna Cum Laude

Gioia Bales Gioia Bales Greater New York City Area Details
Gioia Bales's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience 1998 - 2007
Job Associate Dean at Hofstra University
Industry Higher Education
Experience
Hofstra University  December 2011 - Present
Hofstra  January 2008 - December 2011
Hofstra University  2008 - 2011
Merrill Lynch, Pierce, Fenner & Smith Inc.   1998 - 2007
Salomon Brothers Inc  1980 - 1989

Skills
Research, Public Speaking, Data Analysis, Academic Advising, Student Affairs, PowerPoint, Student Development, Teaching, Microsoft Excel, Microsoft Office, Leadership

Education
Hofstra University   1979 — 1986
MBA, Finance

Syracuse University   1975 — 1979
BS, Communications

Raymond Matson, Jr. Raymond Matson, Jr. Edison, New Jersey Details
Raymond Matson, Jr.'s Merrill Lynch, Pierce, Fenner & Smith Inc. Experience June 1997 - October 2000
Job Sales Associate at Halo Realty
Industry Financial Services
Experience
Halo Realty   November 2014 - Present
Compass Group  October 2014 - Present
Diamond Realty Associates   August 2013 - October 2014
Broadridge Financial  March 2012 - August 2012
Morgan Stanley Smith Barney  January 2010 - January 2012
Morgan Stanley Smith Barney  September 2008 - January 2010
Morgan Stanley Smith Barney  October 2000 - September 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.   June 1997 - October 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.,   April 1996 - June 1997
Payco G.A.C./ New Jersey Division of taxation   September 1994 - April 1996

Skills
Private Equity, Business Strategy, Private Banking, Options, Equities, Financial Services, Management, Leadership

Education
Rutgers, The State University of New Jersey-New Brunswick
Labor Relations

St Joseph's Metuchen

Kristina Mello Kristina Mello Boston, Massachusetts Details
Kristina Mello's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience 2009 - Present
Job Registered Senior Client Associate at Merrill Lynch, Pierce, Fenner & Smith, Inc.
Industry Financial Services
Experience
Merrill Lynch, Pierce, Fenner & Smith, Inc.   2009 - Present
Banc of America Investments  March 2008 - October 2009
Bank of America  July 2007 - March 2008

Skills
Customer Service, Finance, Financial Analysis, Financial Services, Investments, Management, Microsoft Office, Retirement Planning, Series 63, Series 7, Uniform Combined State..., Wealth Management, Banking, Portfolio Management, Strategic Planning, Credit, Leadership

Education
Suffolk University - Sawyer Business School   2013 — 2015
Master of Business Administration (M.B.A.)

Emmanuel College   2003 — 2007
Double B.A., Global Studies, Spanish

Vivek Mehra, CLTC Vivek Mehra, CLTC Boston, Massachusetts Details
Vivek Mehra, CLTC's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience March 2009 - July 2012
Job Financial Advisor, Vice President at Ameriprise Financial Services, Inc.
Industry Financial Services
Experience
Ameriprise Financial Services, Inc.   July 2012 - Present
Merrill Lynch, Pierce, Fenner & Smith, Inc.   March 2009 - July 2012
Citigroup Global Markets, Inc.   April 2004 - March 2009
Prudential Securities Inc./Wachovia Securities   July 1997 - April 2004

Education
Boston College - Carroll School of Management   1990 — 1994
Bachelor of Science (BS), Finance

James Brennan, JD, LLM, CAIA James Brennan, JD, LLM, CAIA Indianapolis, Indiana Area Details
James Brennan, JD, LLM, CAIA's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience September 2011 - August 2012
Job Regional Vice President at Jackson National Life Distributors LLC
Industry Financial Services
Experience
Jackson  August 2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc.   September 2011 - August 2012
Exchange Solutions Group, LLC   December 2008 - September 2011
Wachovia Fixed-Income Division CIB / Private Advisory Group   June 2006 - December 2008

Education
Georgetown University Law Center   2004 — 2006
Master of Laws (LL.M.)

Wake Forest University School of Law   2000 — 2003
Doctor of Law (J.D.)

University of Scranton   1996 — 2000
Bachelor of Science (B.S.), Finance

Jon Locklear, CFP® Jon Locklear, CFP® Tampa/St. Petersburg, Florida Area Details
Jon Locklear, CFP®'s Merrill Lynch, Pierce, Fenner & Smith Inc. Experience November 2003 - January 2005
Job
Industry Financial Services
Experience
Financial Services Industry  July 2011 - September 2013
Snyder Financial Group, Inc.   December 2009 - March 2011
Vice President, Colonial Bank   January 2005 - November 2009
Merrill Lynch, Pierce, Fenner & Smith, Inc.   November 2003 - January 2005
Raymond James & Associates, Inc.   August 1998 - November 2003

Skills
Series 63, Series 7, Asset Allocation, Retirement Planning, Finance, Wealth Management, Investments, 401k, 401k Rollovers, Banking, Bonds, Credit, ETFs, Equities, FINRA, Financial Services, Fixed Income, IRAs, Insurance, Loans, Mortgage Lending, Separately Managed..., Series 6, Small Business Lending, Variable Annuities, Wealth

Education
College for Financial Planning

University of Florida
B.A.

David Rohlander David Rohlander Orange County, California Area Details
David Rohlander's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience 1971 - 1979
Job Results for YOU! ~ Coach, Speaker & Author ~ Leadership, Communication & Finance
Industry Professional Training & Coaching
Experience
David Rohlander, Inc. ~ DGR   1979 - Present
David Rohlander, Inc. ~ DGR   1979 - Present
David Rohlander, Inc. ~ DGR   1979 - Present
Rohsen Technology & Marketing, Inc.   1997 - 2003
Merrill Lynch, Pierce, Fenner & Smith, Inc.   1971 - 1979
United States Air Force  1964 - 1970

Skills
Executive Coaching, Leadership, Coaching, Management Consulting, Leadership Development, Public Speaking, Personal Development, Entrepreneurship, Business Strategy, Career Development, Small Business, Strategic Planning, Consulting, Management, Emotional Intelligence, Start-ups, Team Building, Executive Development, Strategy, Organizational..., Executive Management, Training, Marketing, New Business Development, Business Coaching, Presentation Coaching, Business Development, Workshop Facilitation, Change Management, Organizational..., Time Management, Business Planning, Performance Management, Strategic Partnerships, Personal Branding, Management Development, Performance Improvement, Culture Change, Conflict Resolution, Mentoring, Organizational..., Thought Leadership, Sales Process, Project Planning, Staff Development, Mergers & Acquisitions, Strategic Leadership, Employee Training, Conference Speaking, Seminar Speaker

Education
Claremont Graduate University - Peter F. Drucker and Masatoshi Ito Graduate School of Management   1980 — 1982
Post Graduate, Management

California State University-Fullerton   1971 — 1973
MBA, Finance

Westmont College   1960 — 1964
BA, Literature & History

Butler HS

Jaime Dodd, Ed.D. Jaime Dodd, Ed.D. Greater St. Louis Area Details
Jaime Dodd, Ed.D.'s Merrill Lynch, Pierce, Fenner & Smith Inc. Experience May 1987 - August 1989
Job Director of Operations at Hope Educational and Research Center
Industry Education Management
Experience
Hope Montessori Educational Institute (HMEI)   December 2011 - Present
Hope Educational and Research Center (HERC)   October 1997 - Present
Hope Educational and Research Center   October 1997 - December 2001
University of Missouri - St. Louis  August 1995 - December 1997
Prudential Bache Securities Co.   August 1989 - August 1990
Merrill Lynch, Pierce, Fenner & Smith, Inc.   May 1987 - August 1989
B.C.Christopher Securities Company   May 1985 - May 1987

Skills
Operations Management, Strategic Planning, Team Building, Leadership Development, Staff Development, Organizational..., Training, Performance Management, Employee Relations, Recruiting, Program Management, Leadership, Policy, Customer Service, Microsoft Office, Public Speaking, Coaching, Nonprofits

Education
University of Missouri   1995 — 1997
Doctor of Education (Ed.D.), Behavioral and Developmental Processes of Children and Adolescents

University of Missouri   1993 — 1995
Master of Arts (M.A.), Counseling Psychology

Drake University   1979 — 1983
Bachelor of Arts (BA), Psychology/Sociology

Susanne Denby Susanne Denby Austin, Texas Area Details
Susanne Denby's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience October 1996 - October 1997
Job Vice President of Compliance Registration at Charles Schwab & Co., Inc.
Industry Financial Services
Experience
NFP Advisor Services  June 2010 - April 2015
AIG Financial Advisors Inc./American General Securities Inc.   December 2006 - June 2010
SunAmerica Securities Inc./Spelman and Co. Inc./Sentra Securities Inc.   March 2003 - December 2006
SunAmerica Securities Inc.  October 1997 - October 2003
Merrill Lynch, Pierce, Fenner & Smith Inc.   October 1996 - October 1997

Skills
Securities, Series 24, Series 7, Asset Management, Financial Advisory, Series 63, Retirement Planning, Estate Planning, Series 65

Education
Cal State Fullerton   1992 — 1994
Bachelor's degree, Business/Corporate Communications

University of St. Andrews   1988 — 1989
Certificate of Merit, Ancient History

Michele Mastanduono Michele Mastanduono Garden City, New York Details
Michele Mastanduono's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience 1985 - 1992
Job Office Manager at MasterPharm Compounding Pharmacy
Industry Pharmaceuticals
Experience
MasterPharm Compounding Pharmacy   January 2010 - Present
Merrill Lynch, Pierce, Fenner & Smith, Inc.   1985 - 1992
American Express  1982 - 1985

Skills
Microsoft Office, Microsoft Excel, Marketing, Time Management, Event Management, Teamwork, Event Planning

Education
Hofstra University
Graduate work, Marketing

St. John's University
Bachelor of Science (B.S.), Marketing/Marketing Management, General

William J. Manning, Jr William J. Manning, Jr Greater New York City Area Details
William J. Manning, Jr's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience 1996 - 2003
Job Morris Duffy Alonso & Faley
Industry Law Practice
Experience
Morris Duffy Alonso & Faley  June 2012 - Present
Loeb & Loeb LLP  April 2003 - May 2012
Merrill Lynch, Pierce, Fenner & Smith Inc.   1996 - 2003
Merrill Lynch  1995 - 2003

Skills
Securities Regulation, Arbitration, Litigation, Securities Litigation, Corporate Governance, Securities, Commercial Litigation, Civil Litigation, Corporate Law, Dispute Resolution, Westlaw, FINRA, Mediation, Courts, Bankruptcy, AML, Employment Law, Litigation Management, Legal Research, Due Diligence, Alternative Dispute..., Privacy Law, Class Actions, Legal Writing, Joint Ventures, Licensing, Litigation Support, Intellectual Property

Education
Saint John's University School of Law   1979 — 1982
Doctor of Law (J.D.), Law

Colgate University   1975 — 1979
Bachelor of Arts (B.A.), Economics

University of Oxford-Mansfield College   1978 — 1978

Isaac Liberman Isaac Liberman Chicago, Illinois Details
Isaac Liberman's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience October 2009 - September 2011
Job Financial Advisor at IHT Wealth Management
Industry Financial Services
Experience
IHT Wealth Management   May 2015 - Present
U.S. Bancorp Investments, Inc.   2011 - May 2015
Merrill Lynch, Pierce, Fenner & Smith, Inc.   October 2009 - September 2011
UBS Private Wealth Management  February 2005 - December 2009
Smith Barney, Citigroup Global Capital Markets   March 2004 - February 2005

Education
Northwestern University   2006 — 2008
Certified Financial Planner Certificate Program, Financial Planning and Services

Bard College
B.A., Economics

Brookline High School

Kristin Redmond Kristin Redmond Trenton, New Jersey Details
Kristin Redmond's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience December 2000 - February 2007
Job Policy Advisor at Office of the GovernorState of New Jersey
Industry Government Administration
Experience
Office of the Governor-State of New Jersey  February 2013 - Present
Fein, Such, Kahn & Shepard, P.C.   April 2012 - February 2013
Deutsche Bank  January 2012 - April 2012
Passaic County Prosecutor's Office  October 2011 - January 2012
New Jersey Superior Court  September 2010 - August 2011
Merrill Lynch, Pierce, Fenner & Smith, Inc.   December 2000 - February 2007

Education
Rutgers University School of Law - Newark   2006 — 2010
Juris Doctor, Evening Division

Fordham University   1996 — 2000
Bachelor's Degree, Political Science

Academy of the Holy Angels   1992 — 1996

Anthony Lafaire Anthony Lafaire Greater New York City Area Details
Anthony Lafaire's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience June 1995 - December 2008
Job Managing Director at Lehman Brothers
Industry Financial Services
Experience
Lehman Brothers  March 2010 - Present
Consulting Services  March 2009 - March 2010
Merrill Lynch, Pierce, Fenner & Smith Inc.   June 1995 - December 2008
Shearman & Sterling  September 1987 - June 1995
Proskauer Rose LLP  September 1986 - September 1987

Skills
Leveraged Finance, Hedge Funds, Capital Markets, Securities, Financial Institutions, Bankruptcy, Derivatives, Commercial Litigation, Valuation, Restructuring, Structured Finance, Financial Structuring, Private Equity, Equities, Risk Management, Portfolio Management, Finance, Investments, Investment Banking

Education
New York Law School   1983 — 1986
J.D.

City University of New York-Brooklyn College   1979 — 1983
BA, Political Science

Daniel Max Daniel Max Greater New York City Area Details
Daniel Max's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience 1997 - 2007
Job Vice President at McMahan Securities
Industry Financial Services
Experience
Merrill Lynch  Vice PresidentMcMahan SecuritiesJanuary 2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc.   1997 - 2007

Education
New York University   1994 — 1998

Stephen Patrick Glascoe Stephen Patrick Glascoe Washington, District Of Columbia Details
Stephen Patrick Glascoe's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience September 1982 - January 1985
Job Senior Market Surveillance Specialist Center for Risk and Quantitative Analytics (CRQA)
Industry Law Enforcement
Experience
U.S. Securities and Exchange Commission   September 2013 - Present
U.S. Securities and Exchange Commission   July 2000 - September 2013
Deutsche Bank Alex. Brown Inc.   May 1992 - September 1998
NASD/FINRA  January 1985 - December 1991
Merrill Lynch, Pierce, Fenner & Smith, Inc.   September 1982 - January 1985

Skills
Risk Management, Securities, Surveillance, Capital Markets, Public Speaking, Fraud, Business Strategy, Securities Regulation, PowerPoint, Strategic Planning, Nonprofits, Investments, Microsoft Excel, Customer Service, FINRA, Hedge Funds, Financial Regulation, Corporate Governance, Legal Research

Education
Hampton University   1978 — 1982
B.S., Business - Marketing

Baltimore Polytechnic Institute   1975 — 1978
Mathematics, Science and Engineering.

John Iannici John Iannici Greater New York City Area Details
John Iannici's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience January 2000 - March 2001
Job Corporate Equity Solutions at Morgan Stanley
Industry Financial Services
Experience
Morgan Stanley Wealth Management  January 2008 - Present
Moragn Stanley Wealth Management   November 2004 - January 2008
Morgan Stanley Wealth Management  March 2001 - November 2004
Merrill Lynch, Pierce, Fenner & Smith, Inc.   January 2000 - March 2001

Education
City University of New York
Bachelor of Science, Finance

James Morel James Morel Greater New York City Area Details
James Morel's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience 1989 - 2003
Job Financial Services Professional
Industry Financial Services
Experience
UBS Wealth Management  February 2004 - November 2007
UBS Financial Services Inc.  2004 - 2007
Merrill Lynch  1989 - 2003
Merrill Lynch, Pierce, Fenner & Smith Inc.   1989 - 2003

Education
New York University School of Law   1978 — 1983

Andrew Gilmore Andrew Gilmore Greater Boston Area Details
Andrew Gilmore's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience September 2007 - March 2014
Job Assistant Vice President, Energy Commodities at Herbert J. Sims & Co., Inc.
Industry Investment Management
Experience
Herbert J. Sims & Co., Inc.   April 2014 - Present
Merrill Lynch, Pierce, Fenner & Smith, Inc.   September 2007 - March 2014
Randstad Work Solutions  January 2007 - August 2007
UHY Advisors  September 2005 - December 2006
TD  January 2002 - July 2005

Skills
Commodities, Excel, Energy, Natural Gas, Spreadsheets, Trading, Futures, Bloomberg Terminal, CQG, Crude Oil, Gasoline, Diesel, Technical Analysis, Commodity, Commodity Markets, Derivatives, Hedging, Investments, Microsoft Excel, Options, Petroleum, Wealth Management, Risk Management, Financial Analysis, Financial Modeling, Management, Bloomberg

Education
University of Massachusetts Lowell   2001 — 2005
Bachelors in the Science of Business Administration: Dual Concentration Marketing & Management, Minor in Economics

Theresa Dooley-Bollmann Theresa Dooley-Bollmann Greater New York City Area Details
Theresa Dooley-Bollmann's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience June 2010 - Present
Job Vice President at Merrill Lynch, Pierce, Fenner & Smith Inc.
Industry Financial Services
Experience
Merrill Lynch, Pierce, Fenner & Smith Inc.   June 2010 - Present
JPMorgan Chase  1992 - 2008

Education
The Cooper Union for the Advancement of Science and Art

Buddy Vogler, MBA Buddy Vogler, MBA Little Rock, Arkansas Area Details
Buddy Vogler, MBA's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience May 1985 - April 1994
Job Sr. Financial Analyst at Arkansas Blue Cross Blue Shield
Industry Insurance
Experience
Arkansas Blue Cross   November 2006 - Present
Protech Solutions Inc.  March 2000 - November 2006
Bank of America  March 1998 - March 2000
Self Employment - Development   June 1996 - March 1998
Charles Schwab  April 1994 - June 1996
Merrill Lynch, Pierce, Fenner & Smith, Inc.   May 1985 - April 1994

Skills
Portfolio Management, Insurance, Investments, Underwriting, PowerPoint, Finance, Analysis, Leadership, Risk Management, Health Insurance, Business Analysis, Process Improvement

Education
Webster University   2001 — 2005
MBA, Business Administration

University of Arkansas at Fayetteville   1983 — 1987
BSBA, Finance and Banking

Subiaco Academy   1979 — 1983
Diploma

Barry Price Barry Price Greater New York City Area Details
Barry Price's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience 1998 - May 2011
Job Managing Director at Morgan Stanley
Industry Investment Banking
Experience
Morgan Stanley  September 2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc.   1998 - May 2011
Bank of America Merrill Lynch  2009 - 2011
Merrill Lynch  1998 - 2009
Fried, Frank, Harris, Shriver Jacobson   1995 - 1998
Bachner, Tally, Polevoy Misher   April 1992 - May 1995
Wachtell, Lipton, Rosen & Katz   June 1988 - April 1992

Skills
Investment Banking

Education
New York University School of Law   1986 — 1989
JD

Tufts University   1982 — 1986
BS, Biology

Adrienne Nagy Kozma Adrienne Nagy Kozma Jacksonville, Florida Area Details
Adrienne Nagy Kozma's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience April 2001 - November 2002
Job Executive Assistant at Fidelity National Financial (NYSE:FNF)
Industry Financial Services
Experience
Fidelity National Financial (NYSE:FNF)   November 2013 - Present
Lender Processing Services, Inc  November 2009 - October 2013
Beazley  May 2008 - August 2009
FIS  December 2006 - May 2008
FIRST GUARANTY BANK & TRUST CO.   December 2003 - January 2005
WACHOVIA BANK, N.A.   December 2002 - December 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INC.   April 2001 - November 2002
Citigroup  July 1994 - September 1998

Skills
Microsoft Excel, System Administration, Management, Project Management, Microsoft Word, Microsoft Office, Organizational..., Six Sigma, Business Analysis, Administrative..., Program Management, SharePoint, Team Leadership, Project Planning, Visio

Education
University of North Florida   1999 — 2000
B.A., Communications / Public Relations

Bishop Kenny High School   1986 — 1990

Sebastian Pandolfo Sebastian Pandolfo Greater New York City Area Details
Sebastian Pandolfo's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience 1971 - 2009
Job Retired
Industry Law Practice
Experience
Merrill Lynch  First Vice PresidentBank of America - Merrill Lynch1971 - 2009
Merrill Lynch, Pierce, Fenner & Smith Inc.   1971 - 2009

Skills
Securities, Arbitration, AML, Litigation, Investments, Series 24, Mutual Funds, FINRA, Series 7, Corporate Law, Equities, Securities Regulation, Alternative Investments, Hedge Funds, Wealth Management, Due Diligence, Series 63, Capital Markets, Private Equity, Financial Services, Corporate Governance, Estate Planning, Fixed Income, Structured Finance, Investment Banking, Wealth Management..., Investment Management, Derivatives, Investment Advisory, Prime Brokerage, ETFs, Asset Management, Options, Financial Structuring, Asset Allocation, Structured Products, Dodd-Frank, Private Banking, Private Placements, Financial Markets, Financial Risk, Securitization, Trading, Financial Regulation, Portfolio Management, Securities Litigation, Broker-Dealer

Education
Fordham University School of Law   1965 — 1968
Juris Doctor (J.D.)

Regis High School   1957 — 1961

George Schieren George Schieren Greater New York City Area Details
George Schieren's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience 1981 - 2003
Job partner at Gibson, Dunn & Crutcher LLP
Industry Law Practice
Experience
Gibson, Dunn & Crutcher LLP   June 2009 - Present
Clifford Chance US LLP  March 2003 - June 2009
Merrill Lynch  1981 - 2003
Merrill Lynch, Pierce, Fenner & Smith Inc.   1981 - 2003
U.S. Securities and Exchange Commission   1974 - 1981

Skills
Securities, Arbitration, Securities Litigation, Securities Regulation, Employment Law, Private Equity, Corporate Governance, Corporate Law, FINRA, Class Actions, Commercial Litigation, Capital Markets, Litigation, Mergers & Acquisitions, Legal Research, Joint Ventures

Education
Brooklyn Law School   1971 — 1974
JD cum laude

Queens College   1967 — 1971
BA, Political Science/Economics

Joan White Joan White Houston, Texas Area Details
Joan White's Merrill Lynch, Pierce, Fenner & Smith Inc. Experience 1973 - Present
Job Vice President, Wealth Management Advisor, CFP(tm) at Merrill Lynch, Pierce, Fenner & Smith, Inc.
Industry Financial Services
Experience
Merrill Lynch, Pierce, Fenner & Smith, Inc.   1973 - Present
Rowles, Winston & Company, Inc.   March 1970 - June 1973
Graduated in 1969   September 1966 - May 1969

Skills
Series 7, Wealth Management, Retirement Planning, Asset Allocation, Investment Advisory, Alternative Investments, Series 63, Investments, Portfolio Management, Strategic Financial..., Mutual Funds, Asset Managment, Estate Planning, Retirement, Investment Strategies

Education
The University of Texas at Austin   1966 — 1969
Bachelor of Arts (B.A.), Government

The University of Dayton   1965 — 1966

College of William & Mary

Angel McClarey, CFP®, CDFA™ Angel McClarey, CFP®, CDFA™ Madison, Wisconsin Details
Angel McClarey, CFP®, CDFA™'s Merrill Lynch, Pierce, Fenner & Smith Inc. Experience March 1998 - May 2001
Job Principal/Investment Advisor at Milestone Investment Advisors, LLC
Industry Investment Management
Experience
Milestone Investment Advisors, LLC   October 2013 - Present
Johnson Bank Wealth Management   May 2007 - June 2013
ACS Investment Advisors, Inc. (predecessor of Johnson Bank Wealth Management)   May 2001 - May 2007
Merrill Lynch, Pierce, Fenner & Smith Inc.   March 1998 - May 2001
A.G. Edwards & Sons, Inc.   April 1994 - July 1995
Thompson, Unger and Plumb, Inc.   November 1988 - March 1994

Skills
Strategic Financial..., Estate Planning, Retirement, Finance, Financial Analysis, Hedge Funds, Accounting, Retirement Planning, Personal Finance, Certified Financial..., Financial Planning, Wealth Management..., Tax, Series 7, Financial Advisory, Securities, Financial Goals

Education
California Baptist University   1983 — 1985
Bachelor of Science (BS), Business Administration/ Accounting

Hong Kong Baptist University   1981 — 1983

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