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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-01-17 |
| TX | RA | APPROVED | 2025-01-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | New York | NY | 07/2014 | 01/2025 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | 01/2025 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 01/2025 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2015 | 01/2025 |
| Bank Of America, N.A. | New York | NY | 04/2025 | Present |
Name: Treasurer and Member of the Board of the Condominium, Investment related: No, Nature: HOA, Co-op, Freehold, Position, Title, or Relationship: Treasurer, Owner, Start date: 09-Oct-2020, No Hours: 2 Monthly, No Hours during Trading: 0 Duties: Treasurer and Member of the Board of the Condominium. Responsibilities include preparing financial budgets for the operations and maintenance of the building, determining the level of monthly condominium charges to Unit Owners and, if needed, special assessments, monitoring income vs. expenses, participating in Board meetings, and providing financial communications to Unit Owners. I*2175358, Entity Type: , Name of OBA: The 13 M St Condominium, Address: New York, New York, 10014, Investment Related: N, Position, Title, Association: Treasurer, Owner, Employee State Date: 10/09/2020, No Hours: 2 Monthly, No Hours during Trading: 0 Monthly, Duties: Treasurer and Member of the Board of the Condominium. Responsibilities include preparing financial budgets for the operations and maintenance of the building, determining the level of monthly condominium charges to Unit Owners and, if needed, special assessments, monitoring income vs. expenses, participating in Board meetings, and providing financial communications to Unit Owners. I confirm that I'm able to fully abide by the stated policy requirements. Please also be aware that 1) this Home Owners Association (HOA) does not have an investment account at this time or plans to have one in the future and 2) its President and not the Treasurer is in charge of checking, savings, and bill pay authority; and 3) This HOA does not have a credit card or a brokerage / securities account. I*4422276, Entity Type: Entity For Profit, Name of OBA: MasMas Film 2023 LLC DBA MasMas Media, Address: New York, New York, 10014, Investment Related: N, Position, Title, Association: Officer, Employee Start Date: 04/15/2026, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: Secretary responsibilities include representing the LLC in correspondence, notetaking on meetings, administration of corporate documents, co-management of LLC checking account, and participation in tax filing preparations. Film and other media production company that produces documentary films and fictional films that are focused on elderly persons of interest. None of these film projects focuses on any financial topic, financial product, financial service, financial company, or financial person.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-06-17 |
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