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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2009-01-15 |
| CT | RA | APPROVED | 2007-03-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 | New Canaan | CT | 08/2006 | Present |
I*134295 For profit or not for profit: For-Profit Organization Name of outside business organization: Diving Rock Partners LLC Investment related: N Address of business: Milford, Connecticut 06460 Nature of business: LLC, Position, title, association: Limited Partner, Start date of relationship: 10/30/2020 Number of hours devoted: 0 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: I am a limited partnership in the family limited partnership. Purpose of partnership is for family investments.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-03-26 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-15 |
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