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53 State Street 23Rd Floor, Boston, MA 02109-2820 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2021-07-21 |
Branch Locations
53 State Street 23Rd Floor, Boston, MA 02109-2820 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Boston | MA | 03/2008 | 12/2019 |
| Shepherd Kaplan Llc | Boston | MA | 02/2021 | Present |
| Self Employed | Marlbehead | MA | 01/2020 | 01/2021 |
I*78428 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: THE CHURCH OF THE ADVENT INVESTMENT RELATED: N ADDRESS OF BUSINESS: 30 BRIMMER STREET, BOSTON, MASSACHUSETTS 2018 NATURE OF BUSINESS: OTHER,CHURCH POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 1/19/2015 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I WILL BE A REPRESENTATIVE OF THE CONGREGATION ON THE GOVERNING BOARD (THE VESTRY) OF THE CHURCH. RESPONSIBILITIES AND TASKS ARE RELATED TO REVIEWING AND APPROVING VARIOUS INITIATIVES AND EXPENSE ITEMS THAT COME BEFORE THE BOARD THROUGHOUT THE YEAR.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-04-09 |
| S65 | Uniform Investment Adviser Law Examination | 2003-10-09 |
| S63 | Uniform Securities Agent State Law Examination | 2001-08-23 |
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