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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-08-08 |
| ME | RA | APPROVED | 2022-07-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa | Portland | ME | 07/2013 | 06/2022 |
| Tiaa-Cref Individual & Institutional Services, Llc | Portland | ME | 07/2013 | 06/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Lewiston | ME | 07/2022 | Present |
| Bank Of America, N.A. | Lewiston | ME | 08/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-12-18 |
| S63 | Uniform Securities Agent State Law Examination | 2001-11-14 |
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