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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2009-10-23
  • CT RA
    APPROVED
    Since 2009-10-23

Branch Locations

157 Church St, New Haven, CT 06510 • United States

115 W Century Rd, Paramus, NJ 07652 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Bank Of America, N.A. Waterbury CT 10/2004 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated New Haven CT 10/2009 Present
Previous Registrations
  • 2008-02-22 → 2009-10-23
    Banc Of America Investment Services, Inc.
    New Haven, CT
    Waterbury, CT
    Waterbury, CT
    Waterbury, CT
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-02-13
S63 Uniform Securities Agent State Law Examination 2003-12-12
  • S65 Uniform Investment Adviser Law Examination
    2008-02-13
  • S63 Uniform Securities Agent State Law Examination
    2003-12-12
Other Names
  • Sandra Vigliotti

View on SEC IAPD

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