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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-02-03 |
| CT | RA | APPROVED | 2020-10-20 |
Branch Locations
4 disclosure categories 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 |
|---|---|---|---|---|
| Phx Financial, Inc. | New York | NY | 10/2016 | 01/2020 |
| National Securities Corp | New York | NY | 01/2020 | 08/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Stamford | CT | 09/2020 | Present |
| Bank Of America N.A. | Stamford | CT | 10/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-10-18 |
| S63 | Uniform Securities Agent State Law Examination | 2013-03-28 |
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