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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-04-20 |
| CT | RA | APPROVED | 2020-01-23 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 08/2010 | 01/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Stamford | CT | 01/2020 | Present |
| Bank Of America, N.A. | Stamford | CT | 02/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-12-29 |
| S63 | Uniform Securities Agent State Law Examination | 2008-08-05 |
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