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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2005-03-23 |
| CT | RA | APPROVED | 1993-09-29 |
Branch Locations
2 disclosure categories 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 | New Haven | CT | 09/1993 | Present |
| Bank Of America, Na | New Haven | CT | 09/2009 | Present |
I*134673 For profit or not for profit: Non-Profit Organization Name of outside business organization: Varick AME Zion Church Investment related: N Address of business: New Haven, Connecticut 06511 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 11/19/2020 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Serve on the trustee board that oversees the church security, the church property and governance. (II) FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: NOTARY PUBLIC INVESTMENT RELATED: N POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 10/15/2012 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PUBLIC- NOTARIZING DOCUMENTS FOR A FEE I*37718 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HIGH SCHOOL WRESTLING REFEREE INVESTMENT RELATED: N ADDRESS OF BUSINESS: NEW HAVEN, CONNECTICUT 6511 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 12/15/2010 NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: REFEREE MIDDLE AND HIGH SCHOOL WRESTLING I*7691 For profit or not for profit: Name of outside business organization: Norman Forrester Investment related: Address of business: Meriden, Connecticut 06450 Nature of business: , Position, title, association: , Start date of relationship: 1/1/2019 Number of hours devoted: 2 hour(s) Number of hours devoted during trading hours: 0 Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-12-11 |
| S63 | Uniform Securities Agent State Law Examination | 1992-02-12 |
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