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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-07-27 |
| TX | RA | APPROVED | 2020-12-08 |
| NJ | RA | APPROVED | 2019-01-08 |
Branch Locations
280 Park Ave 27Th & 29Th Fls, New York, NY 10017 • United States
Franklin Lakes, NJ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Short Hills | NJ | 04/2013 | 01/2019 |
| Bank Of America, N.A. | Short Hills | NJ | 06/2013 | 01/2019 |
| Wells Fargo Clearing Services Llc | White Plains | NY | 01/2019 | Present |
PAST PLUTO HOLDINGS LLC; INVESTMENT RELATED; FRANKLIN LAKES, NJ; 99% OWNERSHIP; START 1/1/2015; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; RECONCILING THE CHECKING ACCOUNT AND ACCOUNTING. STIRLING SERVICE LLC; NOT INVESTMENT RELATED; FRANKLIN LAKES,NJ; 99% OWNERSHIP; START 1/1/2015; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; RECONCILING THE BOOKS. TBS HOLDINGS LLC DBA THE BAGEL SHOP; NOT INVESTMENT RELATED; HASBROUCK HEIGHTS,NJ; 99% OWNERSHIP; START 1/1/2015; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; RECONCILING BOOKS. TRUSTEE FOR AUNT'S TRUST; INV. RELATED; NEW YORK, NY; START 2/2020; 0 HRS PER MONTH. UVA HOLDINGS LLC, INV RELATED, FRANKLIN LAKES, NJ, 100% OWNERSHIP WITH SPOUSE, START 5/1/2015, ZERO HOURS PER MONTH, ZERO DURING TRADING, HOLDING LLC FOR TBS HOLDINGS LLC AND LACS ASSOCIATES LLC. LACS ASSOCIATES LLC, INV RELATED, HASBROUCK HEIGHTS, NJ, 25% OWNERSHIP, START 1/1/2014, ZERO HOURS PER MONTH, ZERO DURING TRADING, TO PURCHASE AND RENT REAL ESTATE. COMMERCIAL RENTAL PROPERTY, INV RELATED, HASBROUCK HEIGHTS, NJ, 25% OWNERSHIP, START 11/1/2014, ZERO HOURS PER MONTH, ZERO DURING TRADING. RENTAL PROPERTY, INV RELATED, HASBROUCK HEIGHTS, NJ, 25% OWNERSHIP, START 11/1/2014, ZERO HOURS PER MONTH, ZERO DURING TRADING. STIRLING HOLDINGS LLC, INV RELATED, FRANKLIN LAKES, NJ, 100% OWNERHSIP, START 6/29/2020, 4 HOURS PER MONTH, ZERO HOURS DURING TRADING, TO HOLD PRIVATE INVESTMENTS. RENTAL PROPERTY, INV RELATED, HASBROUCK HEIGHTS, NJ, 100% OWNERSHIP, START 5/20/2005, ZERO HOURS PER MONTH, ZERO DURING TRADING, PROPERTY RENTED TO BAGEL SHOP UNDER PAST PLUTO HOLDINGS. BALLER TECHNOLOGIES LLC; INV RELATED;FRANKLIN LAKES,NJ; SPORTS TRAINING;100% OWNERSHIP; START DATE: 04/20/2026; 2 HRS PER MONTH; 0 HRS DURING TRADING; MINT BROS LLC ; INV RELATED;FRANKLIN LAKES,NJ; SPORT COLLECTIBLES ;100% OWNERSHIP; START DATE: 04/20/2026; 2 HRS PER MONTH; 0 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-05-24 |
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