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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-08-15 |
| RI | RA | APPROVED | 2020-10-16 |
Branch Locations
3400 Pawtucket Ave, Riverside, RI 02915 • United States
One Bryant Park, New York, NY 10036 • 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 | Lincoln | RI | 09/2016 | Present |
| Cvs Health | Cumberland | RI | 04/2016 | 09/2016 |
| Rhode Island College | Providence | RI | 09/2013 | 10/2016 |
I*: 2274264 Entity Type: Charitable Name of OBA: East Bay Summer Wind Ensemble Address: Bristol, RI 02809 Investment Related: No Position, Title, Association: Board member Employee Start Date: 4/7/2025 Number of Hours: 2 hrs wkly Number of Hours during trading: 0 Duties: East Bay Summer Wind Ensemble is a non-profit organization that has asked me to be a Member at Large. My role is to assist the director with establishing connections throughout the community to expand our performance area. I also assist the director with music selection and researching grants available to our organization. I will not have access to funds or investments nor provide any financial advice.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-10-13 |
| S63 | Uniform Securities Agent State Law Examination | 2017-01-18 |
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