Alison V Masopust

Current Employers

Employment History

• 10/2009 → 10/2019
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Southbury, CT
• 10/2014 → 10/2019
  Bank Of America, N.A.
  Southbury, CT
• 11/2019 → Present
  Stifel Nicolaus & Co Inc
  Southbury, CT

Previous Registrations

• 2009-10-09 → 2019-11-04
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Southbury, CT
• 2008-02-05 → 2009-10-21
  Ubs Financial Services Inc.
  Southbury, CT

Other Businesses

1. Brierwood Nurseries, Inc; 85 Thomaston Rd Morris Ct 06763;horticulture: family run garden center and growers of greenhouse grown ornamental plants; Seasonal help; 1/1/1999;128 hr/yr; not during securities trading hours; not investment related. 2. Investment & Wealth Institute; 5619 DTC Parkway, Suite 500, Greenwood Village, CO 80111; provides investment consulting and wealth management credentials and education; CIMA® Certification Commission member; Monitor administration of the CIMA certification and maintain current and relevant requirements.; 01/02/2023; 4 Hours per Quarter; During Securities Trading Hours; Investment-Related. 3. Investment & Wealth Institute; 5619 DTC Parkway, Suite 500, Greenwood Village, CO 80111; professional association, advanced education provider, and standards body for CIMA, CPWA, and RMA certifications; member of the Ethics Committee; Review application for CIMA, CPWA, or RMA when a matter comes up in the applicants background check/FINRA report that IWI staff does not have the authority to accept. Matter is reviewed by 3 members selected from the Ethics committee. Participate in hearings for existing certificate holders when a matter comes up requiring a hearing and deliberation by 3 members of the Ethics committee; 04/27/2026; 4hrs/yr; During securities trading hours; Not investment related

Exams

• S66 Uniform Combined State Law Examination
  2008-02-04

Other Names

• Alison Masopust
• Alison Vera Masopust