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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-01-31 |
| CT | RA | APPROVED | 2019-08-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sunamerica Asset Management Corp. | Jersey City | NJ | 12/2010 | 08/2018 |
| Sunamerica Capital Services, Inc. | Jersey City | NJ | 12/2010 | 08/2018 |
| Vision 4 Fund Distributors, Llc | Scottsdale | AZ | 02/2019 | 06/2019 |
| First Dominion Capital Corp. | Richmond | VA | 09/2018 | 06/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Wellesley Hills | MA | 06/2019 | Present |
1) THE LIFE FOUNDATION, not investment related, Monterey, CA, foundation that sponsors autism; Board Member since 2011; approx. 2 hours/month; duties include idea sharing and oversight.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-08-19 |
| S63 | Uniform Securities Agent State Law Examination | 2000-12-16 |
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