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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2022-05-05 |
| TX | RA | APPROVED | 2022-05-05 |
Branch Locations
6390 Main St, Ste 100, Williamsville, NY 14221 • United States
400 Meridian Centre Blvd Ste 210, Rochester, NY 14618 • United States
1200 Pittsford Victor Rd Ste 100, Pittsford, NY 14534 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, N.A. | Pittsford | NY | 02/2011 | 05/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pittsford | NY | 02/2011 | 05/2022 |
| Wells Fargo Clearing Services, Llc | Rochester | NY | 05/2022 | Present |
35-37 RUNDEL PARK, LLC, INVT RELATED, PENFIELD, NY, 100% OWNERSHIP WITH SPOUSE, START DATE 2/1/2013, 2 HRS PER MONTHS, 0 HRS DURING TRADING, FOR RENTAL PROPERTY. RENTAL PROPERTY; INV. RELATED; ROCHESTER, NY; 100% OWNERSHIP; START DATE 6/8/2023; 2 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES: LANDLORD, COLLECT RENT. SMITH SERVICES AND MANAGEMENT LLC; INV RELATED; PENFIELD, NY; 100% OWNERSHIP WITH SPOUSE; START 04/29/2024; 0 HOURS PER MONTH; 0 HOURS DURING TRADING; HOLDS FRANCHISED MEDICAL CLINIC. ROCHESTER HEALTHY VENDING LLC; PENFIELD, NY; 100% OWNERSHIP WITH SPOUSE; START 03/08/2024; 0 HOURS PER MONTH; 0 HOURS DUING TRADING; VENDING MACHINE BUSINESS
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-04-01 |
| S63 | Uniform Securities Agent State Law Examination | 2010-06-10 |
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