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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2019-10-02 |
| TX | RA | APPROVED | 2019-09-25 |
Branch Locations
200 Glastonbury Blvd Suite 103, Glastonbury, CT 06033-4418 • United States
Bloomfield, CT • United States
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 | Hartford | CT | 08/2011 | 09/2019 |
| Bank Of America, N.A. | Hartford | CT | 12/2011 | 09/2019 |
| Rbc Capital Markets, Llc. | Hartford | CT | 09/2019 | Present |
(1) NAME OF ENTITY: Tradewinds Home Owners Association ADDRESS: Tradewinds Trace Hilton Head Island, SC 29928 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: HOA CAPACITY: Board of Directors * START DATE: 01/10/24 DUTIES: Provide feedback to board as a home owner and volunteer for HOA activities as needed. Clean up property, handle owner issues as it relates to property concerns.. HOURS DEVOTED PER MONTH: less than 1 hour HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-06-12 |
| S63 | Uniform Securities Agent State Law Examination | 1996-06-03 |
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