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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-19 |
| TX | RA | APPROVED_RES | 2017-07-27 |
| CT | RA | APPROVED | 2016-03-03 |
Branch Locations
One Bryant Park Gwim Chief Investment Office (Cio), New York, NY 10036 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 06/2006 | Present |
| Bank Of America, N.A. | New York | NY | 06/2006 | Present |
I*518082For profit or not for profit: Entity For ProfitName of outside business organization: Forge AheadInvestment related: NAddress of business: Ridgefield, Connecticut, 06877Nature of business: ["Limited Liability Company"]Position, title, association: ["Owner"], Start date of relationship: 8/24/2021Number of hours devoted: 5 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , I am the owner of Forge Ahead: a brand, lifestyle company that helps to support constructive conversations about positive thinking. Through our brand apparel sales, a percentage of our proceeds will be donated to various mental health organizations.I*124569For profit or not for profit: For-Profit OrganizationName of outside business organization: The Music & Theory PodcastInvestment related: NAddress of business:Ridgefield, Connecticut 6877Nature of business: Other,It is a podcast that is not incorporatedPosition, title, association: Owner, Start date of relationship: 7/1/2019Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: This is a podcast that I manage where we would now like to include paid advertisements. The podcast has nothing to do with the financial industry and is specifically about music.I*1135257For profit or not for profit: Entity For ProfitName of outside business organization: Your Home CPR (YHCPR)Investment related: NAddress of business: Ridgefild, ConnecticutNature of business: ["Limited Liability Company"]Position, title, association: ["Other"], Start date of relationship: 1/9/2023Number of hours devoted: 4 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: CPR Instructor, CPR InstructorI*479379For profit or not for profit: Entity For Profit , Entity Financial InstitutionName of outside business organization: The Clearing House Payments Company LLC.Investment related: YAddress of business: New York, New York, 10036Nature of business: ["Corporation"]Position, title, association: ["Committee","Other"], [["Other"]]Start date of relationship: 4/23/2019Number of hours devoted: 8 hour(s) YearlyNumber of hours devoted during trading hours: 8Duties: Investment Committee, Payments Company, As member BAC is appoint Mike to the committee. I*2056342, Entity Type, Entity For Profit, Name of OBA: Book - Titled, "Making Nutrition Digestible", Address: Ridgefield, CT, 06877, Investment Related: No, Position, Title, Association: Owner, Employee Start Date: 10/22/2024, No Hours: 1hr/Weekly, No Hours during trading: 0, Duties: I wrote a book about nutrition. Outside of Bank of America I am a Certified Nutrition Coach.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-10-22 |
| S63 | Uniform Securities Agent State Law Examination | 2007-02-24 |
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