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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VT | RA | APPROVED | 2017-01-13 |
| TX | RA | APPROVED_RES | 2012-11-02 |
| CT | RA | APPROVED | 1992-03-24 |
Branch Locations
350 Goose Ln Ste 303-C, Guilford, CT 06437 • United States
Stowe, VT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New Haven | CT | 06/1991 | Present |
| Bank Of America, N.A. | Madison | CT | 07/2011 | Present |
I*31852 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL APARTMENT INVESTMENT RELATED: N ADDRESS OF BUSINESS: NEW YORK, NEW YORK 10016 NATURE OF BUSINESS: OTHER,RENTAL APARTMENT POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 6/15/1991 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 10 DUTIES: OTHER I*83370 For profit or not for profit: For-Profit Organization Name of outside business organization: The Goodwin Levine Foundation Investment related: N Address of business: Fountain Hills, Arizona 85268 Nature of business: Charitable Organization, Position, title, association: Officer, Start date of relationship: 9/27/2014 Number of hours devoted: 3 hour(s) Annually Number of hours devoted during trading hours: 3 Duties: Family foundation. I am President. gives to various charities since mid last century I*127298 For profit or not for profit: For-Profit Organization Name of outside business organization: Richard Goodwin Investment related: N Address of business: Branford, Connecticut 6405 Nature of business: Other, no structure personally owned Position, title, association: Other, own horse Start date of relationship: 9/2/2019 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: lease a horse, no responsibilities I*: 2086298 Entity Type: Rental Property Name of OBA: Rental Property 1 Address: Madison, CT 06443 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 11/15/2024 Number of Hours: 0 Number of Hours during trading: 0 Duties: monthly lease for my wife's horse
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-11-01 |
| S63 | Uniform Securities Agent State Law Examination | 1991-08-16 |
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