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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-08-19 |
| IL | RA | APPROVED | 2013-03-08 |
| CT | RA | APPROVED | 2007-09-10 |
| TX | RA | APPROVED | 2005-03-28 |
| CA | RA | APPROVED | 2003-06-26 |
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 | Boston | MA | 01/1992 | Present |
| Bank Of America, N.A. | Boston | MA | 08/2009 | Present |
I*35511FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: SAILOR SNUG HARBORINVESTMENT RELATED: NADDRESS OF BUSINESS: SUMMER ST, BOSTON, MASSACHUSETTS 2110NATURE OF BUSINESS: OTHER,PRIVATE FOUNDATIONPOSITION, TITLE, ASSOCIATION: TRUSTEE, START DATE OF RELATIONSHIP: 1/1/1995NUMBER OF HOURS DEVOTED: 1 HOUR(S) QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: I AM CURRENTLY THE PRESIDENT OF THE BOARD OF TRUSTEES. I*516128 Entity Type: Charitable Name of outside business organization: The foundation for Wellspring Investment related: N Address of business: hull, Massachusetts, 02045 Nature of business: Charitable Organization"]Position, title, association: Other, Start date of relationship: 8/12/2021Number of hours devoted: 6 hours Yearly Hours devoted during trading hours: 0 Duties: advisory board helping organization develop fundraising strategy, Social service Non profit. The foundation will work will help advise the board on fundraising targets and goals. I*2173280, Entity Type: Not for Profit, Name of OBA: rugby Illinois, Address: Chicago, Illinois, 60603 Investment Related: N, Position, Title, Association: Scheduler for High School Club rugby , Employee State Date: 2/1/2025 , No Hours: 2-3 hrs/month, No Hours during Trading: should be close to 0 , Duties: Boys High School rugby
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-06-20 |
| S63 | Uniform Securities Agent State Law Examination | 1992-04-08 |
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