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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-19 |
| TX | RA | APPROVED | 2004-07-02 |
| NJ | RA | APPROVED | 2002-10-02 |
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 | Southampton | NY | 02/2000 | Present |
| Bank Of America, N.A. | Southampton | NY | 12/2009 | Present |
I*: 2930309 Entity Type: Entity For Profit Name of OBA: C and A Whitby Address: Southampton, NY, 11968 Investment Related: No Position, Title, Association: Other Employee Start Date: 09/30/2025 No. Hours: 4 Monthly No. Hours during Trading: 0 Duties: helping them organize their home and organize medical bills and car maintenance.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-10-01 |
| S63 | Uniform Securities Agent State Law Examination | 1992-06-17 |
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