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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2004-10-08 |
| CT | RA | APPROVED | 1992-04-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Hartford | CT | 07/1989 | Present |
| Bank Of America, N.A. | Hartford | CT | 07/2011 | Present |
I*1252318 For profit or not for profit: Name of outside business organization: Giants Neck Beach Association Finance Committee Investment related: N Address of business: Niantic, Connecticut, 06357 Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , As a member of the finance committee I would be expected to review the budget requests from the various sub committees and the finance committee would then present a final budget to the board of Governors along with our recommendations.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-01-03 |
| S63 | Uniform Securities Agent State Law Examination | 1989-02-24 |
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