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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2017-09-15 |
| TX | RA | APPROVED | 2017-09-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Wayne | PA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Wayne | PA | 11/2016 | 09/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Exton | PA | 09/2017 | Present |
| Bank Of America, N.A. | Exton | PA | 11/2017 | Present |
I*109229 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: DELAWARE COUNTY MEDICAL SOCIETY PUBLIC HEALTH FUND INVESTMENT RELATED: N ADDRESS OF BUSINESS: PHOENIXVILLE, PENNSYLVANIA 19460 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: OFFICER, START DATE OF RELATIONSHIP: 11/25/2002 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS A CHARITABLE ORGANIZATION THAT DISTRIBUTES APPROXIMATELY $15,000 TO $20,000 IN GRANTS EACH YEAR TO CHARITIES PRIMARILY BASED IN DELAWARE COUNTY PA. I COLLECT THE GRANT REQUESTS AND SET UP THE ANNUAL MEETING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-18 |
| S63 | Uniform Securities Agent State Law Examination | 1991-03-26 |
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