Alison West Moffatt

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-03-18
MI	RA	APPROVED	2024-02-29

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Am Marketing	Darien	CT	09/2014	02/2017
Jackson, Grant Investment Advisers, Inc.	Stamford	CT	02/2017	12/2018
Ubs Financial Services Inc	Farmington Hills	MI	01/2022	08/2022
Hindley Elementary School	Darien	CT	03/2019	08/2020
Unemployed	Plymouth	MI	06/2020	01/2022
Caretaker	Darien	CT	03/2018	03/2019
Cadaret Grant & Co., Inc. / Spartan Wealth Management	Bingham Farms	MI	08/2022	02/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Farmington Hills	MI	02/2024	Present
Bank Of America, N.A.	Farmington Hills	MI	03/2024	Present

09/2014 → 02/2017

Am Marketing

Darien, CT
02/2017 → 12/2018

Jackson, Grant Investment Advisers, Inc.

Stamford, CT
01/2022 → 08/2022

Ubs Financial Services Inc

Farmington Hills, MI
03/2019 → 08/2020

Hindley Elementary School

Darien, CT
06/2020 → 01/2022

Unemployed

Plymouth, MI
03/2018 → 03/2019

Caretaker

Darien, CT
08/2022 → 02/2024

Cadaret Grant & Co., Inc. / Spartan Wealth Management

Bingham Farms, MI
02/2024 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Farmington Hills, MI
03/2024 → Present

Bank Of America, N.A.

Farmington Hills, MI

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-02-04
S65	Uniform Investment Adviser Law Examination	2017-10-03
S63	Uniform Securities Agent State Law Examination	1997-08-22

Other Firms