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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-07-27 |
| TX | RA | APPROVED_RES | 2019-09-04 |
| NJ | RA | APPROVED | 2019-07-05 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ayco | Latham | NY | 05/2008 | 10/2016 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Latham | NY | 05/2017 | 05/2019 |
| Unemployed | Slingerlands | NY | 10/2016 | 05/2017 |
| Bank Of America, N.A. | Latham | NY | 08/2017 | 05/2019 |
| Wells Fargo Clearing Services Llc | Albany | NY | 06/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-07-15 |
| S63 | Uniform Securities Agent State Law Examination | 2004-12-17 |
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