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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-04-05 |
| CT | RA | APPROVED | 2007-10-05 |
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 | Fairfield | AR | 10/2007 | Present |
| Bank Of America, N.A. | Fairfield | CT | 07/2011 | Present |
II*579265 Entity Type: For Profit Name of outside business organization: 104 Conestoga Road LLC Investment related: Y Address of business: Chester Springs, Pennsylvania, 19425 Nature of business: Limited Liability Company Position, title, association: General Partner/Managing Member Start date of relationship: 12/15/2021 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Collect rent and pay bills for rental property I*4513305 Entity Type: Charitable Name of OBA: National Marrow Donor Program Address: Minneapolis, Minnesota, 55401 Investment Related: Yes Position, Title, Association: Committee Employee Start Date: 06/01/2026 Number of Hours: 8, Yearly Number of Hours during trading: 8, Yearly Duties: The NMDP facilitates unrelated donor searches for people with blood diseases who require a bone marrow transplant for treatment. I would serve on the investment sub-committee who's role is to review performance of the investment portfolio.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-04-01 |
| S63 | Uniform Securities Agent State Law Examination | 1998-03-27 |
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