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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| RI | RA | APPROVED | 2009-04-27 |
| TX | RA | APPROVED_RES | 2009-04-09 |
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Providence | RI | 03/2009 | Present |
| Bank Of America, N.A | Providence | RI | 12/2009 | Present |
I*: 1692369Entity Type: Entity For ProfitName of OBA: Peaks Village Homeowners AssociationAddress: Newry, MEInvestment Related: NoPosition, Title, Association: CommitteeEmployee Start Date: 02/12/2024Number of Hours: 1 hr monthlyNumber of Hours during trading: 0 Duties:Finance committee. Assisting with budgeting expenses and calculating dues to cover expenses from homeowners. I*: 807231 Entity Type: Entity Charitable Name of OBA: Big Brothers Big Sisters of RI Address: Providence, RI 02920 Investment Related: n Position, Title, Association: Treasurer,Board Member Employee Start Date: 01/01/2022 No Hours: 3hr / mo No Hours during trading:0 Duties: The purpose of the organization is to provide mentors for RI youth. I am expected to help with community awareness and driving the overall mission of the organization to support at risk kids and defend their potential. UPDATE: As of January 1st I have been asked to become Treasurer. Responsibilities will include overseeing the Finance Committee, which is responsible for the financial health of the organization. I will review budgets, recommend financial guidelines (e.g.,reserve funds, credit lines, etc.), create financial reports with staff, and reviewing audits. I will work closely with the CFO to monitor financial performance (non investment), I will serve as a signatory for the organization, ensure compliance with financial policies, and provide financial literacy training to other board members. I will not have access to funds or investments of the organization. They are very aware of my inability to control or advise on any investment related decisions.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1996-10-08 |
| S65 | Uniform Investment Adviser Law Examination | 1996-10-04 |
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