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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-12-03 |
| NY | RA | APPROVED | 2021-04-19 |
| TX | RA | APPROVED_RES | 2004-08-18 |
Branch Locations
50 Fountain Plz, Buffalo, NY 14202 • United States
3507 Kyoto Gardens Dr, Palm Beach Gardens, FL 33410 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Buffalo | NY | 01/1991 | Present |
| Bank Of America, N.A. | Buffalo | NY | 07/2011 | Present |
I*69575 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ROBB SURGICAL INVESTMENT RELATED: N ADDRESS OF BUSINESS: BUFFALO, NEW YORK 14203 NATURE OF BUSINESS: MEDICAL DEVICES, POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 5/2/2016 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I HAVE BEEN APPROVED TO MAKE A INVESTMENT IN THIS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-11-07 |
| S63 | Uniform Securities Agent State Law Examination | 1990-09-12 |
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