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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-10-19 |
| CT | RA | APPROVED | 2024-10-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Neuberger Berman Llc | Boston | MA | 01/2014 | 10/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Boston | MA | 10/2024 | Present |
| Bank Of America, N.A. | Boston | MA | 01/2025 | Present |
I*: 2417272Entity Type: Charitable OrganizationName of OBA: Boston Estate Planning CouncilAddress: Westford, MA 01886Investment Related: NoPosition, Title, Association: Committee memberEmployee Start Date: 04/25/2025Number of Hours: 2 hrs mthlyNumber of Hours during trading: 2 hrs mthlyDuties: Community Engagement Committee -- providing resources for boston community engagement. Purpose of entity is to provide BEPC members with opportunities to give back to the local community in outreach work that shares their respective members' areas of expertise including education, college access, entrepreneurship and workforce development I*: 3009275 Entity Type: Entity Charitable Name of OBA: Community Foundation for MetroWest Address: NatickMassachusetts01760 Investment Related:n Position, Title, Association: Committee Employee Start Date: 10/16/2025 No Hours: 4hr/mo No Hours during trading: 2hr/mo Duties: Community engagement and donor advised funds. Professional Advisor Leadership Committee
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-12-15 |
| S63 | Uniform Securities Agent State Law Examination | 2012-05-21 |
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