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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-19 |
| CT | RA | APPROVED | 2016-06-17 |
| TX | RA | APPROVED_RES | 2010-10-14 |
Branch Locations
2 Pickwick Plz, Greenwich, CT 06830 • United States
266 Merrick Rd, Lynbrook, NY 11563 • 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 | New York | NY | 09/2010 | Present |
FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: MOLLOY COLLEGEINVESTMENT RELATED: NOADDRESS OF BUSINESS: ROCKVILLE CENTRE, NEW YORK 11571NATURE OF BUSINESS: EDUCATIONPOSITION, TITLE, ASSOCIATION: OTHER, PROFESSORSTART DATE OF RELATIONSHIP: 9/15/1998NUMBER OF HOURS DEVOTED: 12 HOURS MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: TEACHING VARIOUS UNDERGRADUATE AND GRADUATE BUSINESS AND ECONOMIC COURSES. I*: 2415297Entity Type: Fiduciary roleName of OBA: M. L B. TTEE T. J B. TTEE U/A DTD 07/10/2023Address: Rockville Centre, NY 11570Investment Related: NoPosition, Title, Association: TrusteeEmployee Start Date: 04/25/2025Number of Hours: 0Number of Hours during trading: 0Duties: Trustee for parents I*4772295, Entity Type: , Name of OBA: Estate of M J. B, Address: Rockville Centre, New York, 11570, Investment Related: N, Position, Title, Association: Administrator, Employee Start Date: 06/30/2026, No Hours: 1 Yearly, No Hours during Trading: 1 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-07-10 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-26 |
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