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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| RI | RA | APPROVED | 2023-01-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Napatree Capital Llc | Providence | RI | 03/2018 | 03/2020 |
| Washington Trust / Washington Trust Wealth Management | Providence | RI | 03/2003 | 02/2018 |
| F.L. Putnam Investment Management Co. | Providence | RI | 03/2020 | 10/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Providence | RI | 10/2022 | Present |
Name of the other business: Rhode Island Historical SocietyNot Investment relatedAddress: Providence, RI Nature of the other business: Historical societyYour position: Board memberTitle: Board memberStart date:1998 approx. various roles Approximate number of hours/month to other business: 3Number of hours you devote during securities trading hours: 1Briefly describe your duties relating to the other business: Advise Executive director Name of the other business: Hattie Ide Chaffee Nursing HomeNot Investment relatedAddress: East Providence, RI Nature of the other business: Nursing homeYour position: Board memberTitle: Board memberStart date: 2017 approx.Approximate number of hours/month: 3Number of hours you devote during securities trading hours: 2Briefly describe your duties relating to the other business: Advise executive director Name of the other business: St. Raphael AcademyNot Investment relatedAddress: Pawtucket, RI Nature of the other business: Private high schoolYour position: Advisory board memberTitle: MemberStart date: Approx. 2000 various volunteer rolesApproximate number of hours/month other business: 4Number of hours you devote during securities trading hours: 1Briefly describe your duties relating to the other business: Advise principal I*: 2198268Entity Type: CharitableName of OBA: St. Raphael AcademyAddress: Pawtucket, RI 02860Investment Related: NoPosition, Title, Association: Officier Employee Start Date: 2/19/2025Number of Hours: 5 hrs mthlyNumber of Hours during trading: 1 hr mthly Duties: Nonprofit Catholic High School: volunteer Board Chair I*5489271, Entity Type: Entity Charitable, Name of OBA: United Way of Rhode Island, Address: Providence, Rhode Island, 02909, Investment Related: N, Position, Title, Association: ["Committee"], Employee Start Date: 10/01/2026, No Hours: 3 Monthly, No Hours during Trading: 3 Monthly, Duties: Chair Professional Advisors Committee, The United Way provides critical funding to many nonprofits who serve Rhode Islanders.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 2001-05-01 |
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