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22 West Putnam Avenue Second Floor, Greenwich, CT 06830 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-12-03 |
| NJ | RA | APPROVED | 2024-11-22 |
| NY | RA | APPROVED | 2024-11-14 |
| CA | RA | APPROVED | 2024-11-13 |
| CT | RA | APPROVED | 2024-11-13 |
Branch Locations
22 West Putnam Avenue Second Floor, Greenwich, CT 06830 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Algonquin Advisors Llc | Greenwich | CT | 07/2010 | 02/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Greenwich | CT | 03/2020 | Present |
| Bank Of America, N.A. | Greenwich | CT | 12/2020 | Present |
I* 408170 For profit or not for profit: Entity Charitable Name of outside business organization: Fairfield County's Community Foundation Investment related: no Address of business: Norwalk, CT, 06854 Nature of business: Charitable Organization Position, title, association: Committee,Board Member Start date of relationship: 10/01/2024 Number of hours devoted: 15 yearly Number of hours devoted during trading hours: 15 Duties: The Foundation provides grants to local non-profit organizations and drives strategic initiatives in the community. I have sat on the Steering Committee for a sub-group of the Foundation that focuses on Women & Girls since 2017 and have been asked to take on a leadership role on the Committee. As part of that obligation, I have been asked to also serve on the Board of the Foundation. In my role on the Board, I would serve on an additional committee (likely Investment or Finance Committee given my area of expertise).
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2020-08-10 |
| S65 | Uniform Investment Adviser Law Examination | 2011-06-29 |
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