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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-19 |
| FL | RA | APPROVED | 2016-05-10 |
| TX | RA | APPROVED_RES | 2010-10-13 |
Branch Locations
1 Town Center Rd, Boca Raton, FL 33486 • United States
One Bryant Park, New York, NY 10036 • United States
Jericho, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Ny | NY | 04/1997 | Present |
| Bank Of America,Na | New York | NY | 09/2009 | Present |
I*: 2659283 Entity Type: Co-op, Freehold, HOA Name of OBA: Townhouse Association H Address: Boca Raton, Fl 33431 Investment Related: No Position, Title, Association: Board member Employee Start Date: 01/01/2020 Number of Hours: 24 hrs mthly Number of Hours during trading: 0 Duties: I help resolve issues amongst the various townhouse owners. I participate in the annual budget, decisions for repairs and maintenance, compliance with the bylaws, the general upkeep of the townhouses. I*5026269 Entity Type: Fiduciary role Name of OBA: Estate of P. K. Address: Boca Raton, Florida, 33431 Investment Related: No Position, Title, Association: Executor Employee Start Date: 01/24/2025 Number of Hours: 2, Weekly Number of Hours during trading: 0, Weekly Duties: Executor/Spouse
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-07-11 |
| S63 | Uniform Securities Agent State Law Examination | 1997-02-14 |
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