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53 State Street 28Th Floor, Boston, MA 02109 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-03-04 |
Branch Locations
11 West 42Nd Street 13Th Floor, New York, NY 10036 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bny Mellon | Westport | CT | 12/2008 | 01/2023 |
| Bny Mellon Securities Corporation | New York | NY | 04/2020 | 01/2023 |
| Svb Wealth | New York | NY | 01/2023 | Present |
| First Citizens Investor Services | Raleigh | NC | 11/2023 | Present |
Mosaic Designs, The business is not investment-related, 110 Hillspoint Road, Westport, CT 06880, Residential single family home used for rental income, Owner/Landlord, 50% Member of LLC, 1/30/2023, 1/2 hour, None during trading hours, Oversee and maintain the residence. Long term tenant.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-03-04 |
| S63 | Uniform Securities Agent State Law Examination | 2020-12-07 |
| S66 | Uniform Combined State Law Examination | 2008-06-12 |
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