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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2004-04-01 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Short Hills | NJ | 09/1989 | Present |
| Bank Of America,N.A. | Westfield | NJ | 06/2011 | Present |
I*697279 For profit or not for profit: Entity Charitable Name of outside business organization: Center for Hope Hospice & Palliative Care Investment related: N Address of business: Scotch Plains, New Jersey, 07076 Nature of business: ["Hospital or Healthcare System"] Position, title, association: ["Committee","Board Member"], [["Finance committee","Fundraising committee","Other"]] Start date of relationship: 2/24/2022 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , The board is comprised of many different professionals: lawyers, accountants, bankers. They wish to have my experience and expertise in helping out with various committees to help in the overall mission of the organization.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-07-18 |
| S63 | Uniform Securities Agent State Law Examination | 1991-07-30 |
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