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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2020-06-09 |
| TX | RA | APPROVED | 2020-06-03 |
Branch Locations
30 Batterson Park Road Suite 350, Farmington, CT 06032 • United States
Old Saybrook, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Mystic | CT | 09/2010 | 06/2020 |
| Bank Of America, N.A. | Mystic | CT | 06/2011 | 06/2020 |
| Rbc Capital Markets, Llc | Hartford | CT | 06/2020 | Present |
| City National Bank | Hartford | CT | 12/2020 | Present |
I*93667 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: COMMUNITY FOUNDATION OF EASTERN CONNECTICUT INVESTMENT RELATED: Y ADDRESS OF BUSINESS: 68 FEDERAL STREET, NEW LONDON, CONNECTICUT 6320 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 3/2/2016 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MEMBER OF INVESTMENT COMMITTEE. ADVISORY ONLY, NO RESPONSIBILITY, ACCESS, OR DISCRETION OVER DISPERSAL OF ORGANIZATION'S FUNDS. NAME OF ENTITY: Community Foundation of Eastern Connecticut ADDRESS: New London, CT INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Charitable giving via Donor Advised Funds CAPACITY: Committee/Council Member (not associated with the Board of Directors) START DATE: 06/01/18 DUTIES: Act as a committee member to discuss recommendations of BBH advisors, performance of the portfolio, and the Foundation's overall investment policy and goals. HOURS DEVOTED PER MONTH: .1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: .1
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-11-04 |
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