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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2014-08-12 |
| CT | RA | APPROVED | 2012-10-12 |
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner And Smith Incorporated | Springfield | MA | 06/2012 | Present |
| Bank Of America, N.A. | Springfield | MA | 12/2012 | Present |
I*84316 For profit or not for profit: Non-Profit Organization Name of outside business organization: University of Massachusetts Alumni Association Investment related: Y Address of business: Amherst, Massachusetts 01003 Nature of business: Charitable Organization, Position, title, association: , Start date of relationship: 8/31/2015 Number of hours devoted: 2 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: The primary role of the UMass Alumni Association Finance & Investment Committee is to develop and manage fiscal and investment policies and operating procedures to ensure the organization s short and long term financial stability I*, Entity Type Fiduciary Role , Name of OBA: PAK Address: Chicopee, Massachusetts, 01013 Investment Related: Yes Position, Title, Association: Power of Attorney Employee Start Date: 06/24/2024 No Hours: 5 Monthly No Hours during trading: 0 Duties: Power of Attorney
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-10-11 |
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