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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-02-16 |
| CT | RA | APPROVED | 2001-06-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Greenwich | CT | 05/2001 | Present |
| Bank Of America, N.A. | Greenwich | CT | 12/2009 | Present |
I*117817 For profit or not for profit: Non-Profit Organization Name of outside business organization: St Catherine of Siena Church Investment related: N Address of business: Riverside, Connecticut 6878 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 9/19/2018 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: New member of 7 person Church Finance Committee I*2066358 Entity Type: Church Name of OBA: St. Catherine Of Siena Endowment Fund Address: Riverside, CT 06878 Investment Related: N Position, Title, Association: Church Endowment Oversight Committee Employee Start Date: November 15, 2024 No Hours: 12 hrs annually No Hours during trading: 0 Duties: Oversight external discretionary invesments mgrs of Endowment.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-03-09 |
| S66 | Uniform Combined State Law Examination | 1999-11-15 |
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