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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2025-01-15 |
| NY | RA | APPROVED | 2021-04-19 |
| TX | RA | APPROVED_RES | 2017-05-19 |
| NJ | RA | APPROVED | 2009-10-23 |
Branch Locations
400 S Rampart Blvd Mlwm Executive Osj, Las Vegas, NV 89145 • United States
One Bryant Park Gwim Chief Investment Office (Cio), New York, NY 10036 • United States
Wilton, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, N.A. | New York | NY | 03/2008 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Boston | MA | 10/2009 | Present |
I*133218 For profit or not for profit: Non-Profit Organization Name of outside business organization: Villanova University Investment related: No Address of business: Villanova, Pennsylvania 19085 Nature of business: Charitable Organization Position, title, association: Trustee Start date of relationship: 10/1/2020 Number of hours devoted: 32 hrs Annually Number of hours devoted during trading hours: 16 hrs Duties: Villanova University is a Catholic Augustinian community of higher education, committed to excellence and distinction in the discovery, dissemination and application of knowledge. Board of Trustees is responsible for oversight of the university. I*: 395058 Entity Type: Entity Charitable Name of OBA: Villanova University Address: Villanova, PA 19085 Investment Related: No Position, Title, Association: Investment committee member Employee Start Date: 10/01/2020 Number of Hours: 32 hrs annually Number of Hours during trading: 16 hrs annually Duties: Villanova University is a Catholic Augustinian community of higher education, committed to excellence and distinction in the discovery, dissemination and application of knowledge. Board of Trustees is responsible for oversight of the university. I*2321261, Entity Type: , Name of OBA: K A. H Revocable Trust, Address: Wilton, Connecticut, 06897, Investment Related: N, Position, Title, Association: Co-Trustee, Employee State Date: 02-Apr-2019, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-07-09 |
| S63 | Uniform Securities Agent State Law Examination | 1997-12-23 |
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