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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-09-07 |
| HI | RA | APPROVED | 2020-08-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mast Capital Management Llc | Kailua Kona | HI | 01/2012 | 05/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Kailua Kona | HI | 05/2020 | Present |
| Hawaii Ulu Producers Cooperative | Kailua Kona | HI | 06/2019 | 05/2020 |
| Bank Of America, N.A. | Kailua Kona | HI | 08/2020 | Present |
I*424827, Entity Type: Entity For Profit, Name of OBA: Mast Capital Management LLC/Mast Capital Partners, Address: Kailua Kona, Hawaii 96740, Investment Related: Y, Position, Title, Association: Other, Employee Start Date: 01/01/2012, No Hours: 0, No Hours during trading: 0, Duties: These are entities I previously established when I launched a hedge fund that ended up never having any clients. I have used these entities to trade my personal family monies only and are dormant and have not been active since January 2020.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-08-24 |
| S65 | Uniform Investment Adviser Law Examination | 2011-11-17 |
| S63 | Uniform Securities Agent State Law Examination | 2000-05-22 |
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