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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2021-10-27 |
| NY | RA | APPROVED | 2021-04-19 |
| TX | RA | APPROVED_RES | 1999-01-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 06/1987 | Present |
| Bank Of America, Na | New York | NY | 09/2009 | Present |
I*62020 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: CONVENT OF THE SACRED HEART INVESTMENT RELATED: N ADDRESS OF BUSINESS: GREENWICH CT 06831 NATURE OF BUSINESS: OTHER SCHOOL POSITION, TITLE, ASSOCIATION: START DATE OF RELATIONSHIP: 4/3/2013 NUMBER OF HOURS DEVOTED: 10 QUARTERLY HOUR(S) NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: HAVE BEEN ASKED TO BE A CO-CHAIR TO HELD RAISE MONEY FOR THE SCHOOL. THE FUNDS WILL BE USED TO BUILD ADDITIONAL FACILITIES FOR THE SCHOOL. I WILL HAVE NO RESPONSIBILITY FOR THE INVESTMENT OF ANY FUNDS AND NO INPUT TO USE OF THE FUNDS. I*106810 For profit or not for profit: For-Profit Organization Name of outside business organization: MFF V LCC Investment related: Y Address of business: Greenwich, Connecticut 6830 Nature of business: LLC, Position, title, association: Limited Partner, Start date of relationship: 6/1/2017 Number of hours devoted: 2 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Family LLC: this is an LLC for estate planning purposes. My responsibilites are acting as the managing member.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1991-01-28 |
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