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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2016-04-26 |
Branch Locations
1 Gorham Island Rd, Westport, CT 06880 • United States
620 S Tryon St, Charlotte, NC 28255 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 09/2015 | Present |
| Bank Of America, Na | New York | NY | 09/2015 | Present |
I*86156 ENTITY TYPE: FIDUCIARY ROLE NAME OF OUTSIDE BUSINESS ORGANIZATION: ST. PATRICKS DAY PARADE FOUNDATION NYC INVESTMENT RELATED: NO ADDRESS OF BUSINESS: LARCHMONT, NEW YORK 10538 POSITION, TITLE, ASSOCIATION: TRUSTEE START DATE OF RELATIONSHIP: 12/12/2013 NUMBER OF HOURS DEVOTED: 2 HOURS MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: GENERAL TRUSTEE NO COMMITTEE RESPONSIBILITY MOSTLY FUND RAISING.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-04-25 |
| S63 | Uniform Securities Agent State Law Examination | 2006-02-15 |
| S65 | Uniform Investment Adviser Law Examination | 2003-10-29 |
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