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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-11-01 |
| CT | RA | APPROVED | 2009-10-23 |
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 | New Haven | CT | 10/2009 | Present |
| Bank Of America,Na | New Haven | CT | 11/2009 | Present |
I*4502274 Entity Type: Entity For Profit Name of OBA: WheelGuard Co LLC Address: Stamford, Connecticut Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 05/01/2026 Number of Hours: 0, Weekly Number of Hours during trading: 0, Weekly Duties: Invention Idea The plan is to hire an outside firm to review the idea and work on the design, testing, engineering, marketing and determine if the idea is practical. They would handle everything. I expect that my responsibility will be to review and approve next steps.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-07-03 |
| S63 | Uniform Securities Agent State Law Examination | 2000-02-01 |
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