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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-06-05 |
| CT | RA | APPROVED | 2007-11-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Darien | CT | 11/2007 | Present |
| Bank Of America, N.A. | Darien | CT | 03/2010 | Present |
I*32948 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HICKORY AND TWEED SKI SHOP INVESTMENT RELATED: N ADDRESS OF BUSINESS: 410 MAIN STREET, ARMONK, NEW YORK 10573 NATURE OF BUSINESS: OTHER, SALES POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 2/1/1992 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: OVER SEE SALES STAFF SALES FLOOR MANAGER I*505876 For profit or not for profit: Name of outside business organization: MVY Flavors Investment related: N Address of business: stamford, Connecticut, 06907 Nature of business: ["Business or Industry Organization"] Position, title, association: ["Owner"], Start date of relationship: 7/1/2021 Number of hours devoted: 10 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , IamtheownerofthebusinessasmysonisaminorHeismanufacturingaBBQsaucetosellasawaytooffsetcollegecostsIwillreceivenocompensationjustactasowneratthispoint
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-05-26 |
| S63 | Uniform Securities Agent State Law Examination | 2000-04-20 |
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