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655 Broad Street, Newark, NJ 07102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2026-03-09 |
Branch Locations
655 Broad Street, Newark, NJ 07102 • United States
Tempe, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chandler | AZ | 04/2016 | 10/2018 |
| Bank Of America, N.A. | Chandler | AZ | 08/2016 | 10/2017 |
| John Hancock | Tempe | AZ | 11/2018 | 12/2024 |
| John Hancock Funds, Inc. | Tempe | MA | 11/2018 | 12/2024 |
| Pgim Investments, Llc | Overland Park | KS | 12/2024 | Present |
| Prudential Investment Management Services Llc | Overland Park | KS | 12/2024 | Present |
a.OBA Name: C&R Realty LLC b.Investment-related? No c.OBA Address: 1733 W Washington St., Allentown, PA, 18104 d.OBA Nature: Retal property e.Position, Title, or Relationship with the OBA: Partner f.OBA Start Date: 04/01/2024 g.Approximate number of hours/month devoted to the OBA: 0 h.Number of hours devoted to the OBA during securities trading hours: 0 i.Brief description duties related to the OBA: Owns a rental property with partner Dominic Rafetto. Charges tenant a reasonable rental fee while collecting passive income from the property. NO NAME FOR BUSINESS. I OWN A HOME AS A RENTAL PROPERTY. POSITION: Part owner of the real estate property. NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/26/2023 ADDRESS: 1733 W. Washington St., Allentown PA 18104, United States DESCRIPTION: I am a passive partner and investor. I have no active responsibilities in the OBA that take up any time. NO NAME FOR BUSINESS. I OWN A HOME AS A RENTAL PROPERTY. POSITION: Part owner of the real estate property. NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/26/2023 ADDRESS: 1733 W. Washington St., Allentown PA 18104, United States DESCRIPTION: I am a passive partner and investor. I have no active responsibilities in the OBA that take up any time.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-07-06 |
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