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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2026-06-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | West Hartford | CT | 05/2026 | Present |
| Kls Advisors | New York | NY | 07/2015 | 06/2019 |
| Bmo Capital Markets Corp. | New York | NY | 06/2019 | 03/2021 |
| Morgan Stanley | New York | NY | 03/2021 | 04/2026 |
I*4597267 Entity Type: N/A Name of OBA: D T D 2020 Family Trust Address: Six Mile, South Carolina, 29682 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 12/01/2020 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: Uncle, Cousin
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-04-29 |
| S63 | Uniform Securities Agent State Law Examination | 2020-06-25 |
| S65 | Uniform Investment Adviser Law Examination | 2015-09-21 |
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