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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-19 |
| TX | RA | APPROVED | 2017-07-13 |
| CT | RA | APPROVED | 2017-07-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Unified Financial Securities, Inc. | Indianapolis | IN | 03/2015 | 10/2016 |
| Brc Investment Management, Llc | Greenwood Village | CO | 03/2015 | 10/2016 |
| Unemployed | New Milford | CT | 11/2016 | 06/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chappaqua | NY | 06/2017 | Present |
| Bank Of America, N.A. | Chappaqua | NY | 06/2017 | Present |
I*3488267 Entity Type: N/A Name of OBA: DIANE F RAGONNET = D F R Address: New Fairfield, Connecticut Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 01/08/2026 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: Child/Grandchild I*3489267 Entity Type: N/A Name of OBA: DIANE F RAGONNET = D F R Address: New Fairfield, Connecticut Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 01/08/2026 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: Child/Grandchild I*3489268 Entity Type: N/A Name of OBA: 0DIANE F RAGONNET0 = D F R Address: New Fairfield, Connecticut Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 01/08/2026 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: Child/Grandchild I*3489269 Entity Type: N/A Name of OBA: DIANE F RAGONNET = D F R Address: New Fairfield, Connecticut Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 01/08/2026 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: Child/Grandchild
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-07-07 |
| S63 | Uniform Securities Agent State Law Examination | 2015-04-10 |
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