Merrill Lynch, Pierce, Fenner & Smith Inc.
Industry: Company
DescriptionHeadquarters: 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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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, 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
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
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
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
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
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
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
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
Merrill Lynch Vice PresidentMcMahan SecuritiesJanuary 2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. 1997 - 2007
Education
New York University 1994 — 1998
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.
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
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
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
Merrill Lynch, Pierce, Fenner & Smith Inc. June 2010 - Present
JPMorgan Chase 1992 - 2008
Education
The Cooper Union for the Advancement of Science and Art
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
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
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
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
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
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
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