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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2020-06-09 |
| TX | RA | APPROVED_RES | 2020-06-03 |
Branch Locations
30 Batterson Park Road Suite 350, Farmington, CT 06032 • United States
East Haddam, CT • United States
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 | New London | CT | 06/2009 | 06/2020 |
| Bank Of America, N.A. | New London | CT | 08/2011 | 06/2020 |
| Rbc Capital Markets, Llc | Farmington | CT | 06/2020 | Present |
| City National Bank | Farmington | CT | 12/2020 | Present |
1) I*115618 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: VALLEY SHORE YMCA INVESTMENT RELATED: N ADDRESS OF BUSINESS: WESTBROOK, CONNECTICUT 6498 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 7/1/2018 NUMBER OF HOURS DEVOTED: 8 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: WORK AS PART OF AS COMMITTEE TO FUND A CAPITAL IMPROVEMENT PLAN . 2) I*120217 For profit or not for profit: Non-Profit Organization Name of outside business organization: Ray School Corporation Investment related: N Address of business: Moodus, Connecticut 06469 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 1/23/2019 Number of hours devoted: 3 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Donates money to support vocational education programs in the town of East Haddam, CT 3) Name: Ray School Corporation Address: 1 Plains Rd Moodus, CT 06469 Business Description: Endowment supporting education in East Haddam, CT Business is not investment related Projected Start Date: 05/01/19 Capacity: Board of Directors * Duties Performed: I offer my incite and opinion on the issues presented to the board in support of technical and industrial arts education. Devoted to this OBA per Month: 1 Hours Devoted to this OBA during business hours: 0 4) Name: Valley Shore YMCA Campaign Cabinet Address: 200 RT 166 Westbrook, CT 06498 Business Description: YMCA Business is not investment related Projected Start Date: 04/01/19 Capacity: Committee/Council Member (not associated with the Board of Directors) Duties Performed: Working with a board of committed local influencers, we are introducing the needs of the YMCA to the community as we fund the expansion of the facility. Devoted to this OBA per Month: 1 Hours Devoted to this OBA during business hours: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-01-13 |
| S63 | Uniform Securities Agent State Law Examination | 1998-01-07 |
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