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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 |
| NY | RA | APPROVED | 2024-08-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hudson Valley Federal Credit Union | Montgomery | NY | 12/2005 | 01/2020 |
| Lpl Financial, Llc | Montgomery | NY | 01/2016 | 12/2019 |
| Wells Fargo Bank, Na | Carmel | NY | 01/2020 | 07/2024 |
| Wells Fargo Clearing Services, Llc | Carmel | NY | 01/2020 | 07/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Poughkeepsie | NY | 07/2024 | Present |
| Bank Of America, N.A. | Poughkeepsie | NY | 08/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-04-06 |
| S63 | Uniform Securities Agent State Law Examination | 2016-03-24 |
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