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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2016-07-27 |
| CT | RA | APPROVED | 2016-06-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Stamford | CT | 04/2016 | Present |
| Bank Of America, N.A. | Stamford | CT | 05/2016 | Present |
I*93071 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: FEDERICI CONSTRUCTION LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: NEW CANAAN, CONNECTICUT 6840 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 5/1/2014 NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: NON OPERATIONAL BUSINESS. NEVER WAS IN USE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-06-24 |
| S63 | Uniform Securities Agent State Law Examination | 2014-10-01 |
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