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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VT | RA | APPROVED | 2023-03-01 |
| NH | RA | APPROVED | 2023-02-23 |
| NY | RA | APPROVED | 2021-04-19 |
| TX | RA | APPROVED_RES | 2004-08-06 |
Branch Locations
One Bryant Park Pbig - Ny Midtown, New York, NY 10036 • United States
Saxtons River, 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 York | NY | 07/1991 | Present |
| Bank Of America, N.A. | New York | NY | 08/2011 | Present |
I*28222 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: J. & J. J. OWNER OCCUPIED BROWNSTONE INVESTMENT RELATED: YES ADDRESS OF BUSINESS: NEW YORK, NEW YORK 10024 NATURE OF BUSINESS: SOLE PROPRIETORSHIP POSITION, TITLE, ASSOCIATION: OWNER START DATE OF RELATIONSHIP: 2/28/2001 NUMBER OF HOURS DEVOTED: 4 HOURS MTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: OWNER OCCUPIED BROWNSTONE I*: 2175430 Entity Type: Charitable Name of OBA: Vermont Academy Address: Saxtons River, VT 05154 Investment Related: No Position, Title, Association: Board member Employee Start Date: 4/1/2025 Number of Hours: Number of Hours during trading: Duties: I will be serving on the board of this private boarding school in Vermont. The school serves grades 9-12 with a student body of 220 students currently. My responsibilities will include attending 4 board meetings annually.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-06-14 |
| S63 | Uniform Securities Agent State Law Examination | 1991-11-01 |
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