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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2009-10-23 |
Branch Locations
157 Church St, New Haven, CT 06510 • United States
115 W Century Rd, Paramus, NJ 07652 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, N.A. | Waterbury | CT | 10/2004 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New Haven | CT | 10/2009 | Present |
I* 345546 For profit or not for profit: Entity Charitable Name of outside business organization: THE UCONN CLUB Investment related: no Address of business: Storrs, CT, 06269 Nature of business: Charitable Organization Position, title, association: Director Start date of relationship: 06/30/2004 Number of hours devoted: 2 monthly Number of hours devoted during trading hours: 0 Duties: board member, fundraising (2)PALACE THEATER - WATERBURY, CT 06702 - 06/30/04 - BOARD MEMBER - NON PROFIT - PROVIDING ART ENTERTAINMENT - 10 HOURS MONTH I*86132 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: THE COMMUNITY FOUNDATION FOR GREATER NEW HAVEN INVESTMENT RELATED: N ADDRESS OF BUSINESS: NEW HAVEN, CONNECTICUT 06510 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 1/1/2014 NUMBER OF HOURS DEVOTED: 8 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 4 DUTIES: ACT AS AN AMBASSADOR FOR THE FOUNDATION . HELP TO GENERATE AWARENESS OF THE FOUNDATION 'S PURPOSE AND MISSION. I*93974 For profit or not for profit: Non-Profit Organization Name of outside business organization: Mattatuck Historical Societyd/b/aMattatuck Museum Investment related: N Address of business: Waterbury, Connecticut 06702 Nature of business: Charitable Organization, Position, title, association: Director, Start date of relationship: 5/31/2016 Number of hours devoted: 3 hour(s) Monthly Number of hours devoted during trading hours: 1 Duties: board member On 7/1/2019 I was elected Vice Chair of the Board of Directors. I*107335 For profit or not for profit: For-Profit Organization Name of outside business organization: LLC Investment related: N Address of business: Woodbury, Connecticut 06798 Nature of business: LLC, Position, title, association: , Start date of relationship: 3/21/2017 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Opened an LLC for the sole purpose of purchasing a residential property
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-02-13 |
| S63 | Uniform Securities Agent State Law Examination | 2003-12-12 |
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