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88 Post Road West 2Nd Floor, Westport, CT 06880 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2023-03-22 |
| CT | RA | APPROVED | 2023-03-15 |
| NY | RA | APPROVED | 2023-02-19 |
Branch Locations
590 Madison Avenue 28Th Floor, New York, NY 10022 • 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 |
|---|---|---|---|---|
| Morgan Stanley Smtih Barney | Springfield | MA | 07/2009 | 04/2017 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 04/2017 |
| Pruco Securities, Llc | White Plains | NY | 07/2017 | 09/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 09/2017 | 10/2022 |
| Bank Of America, N.A. | New York | NY | 01/2018 | 10/2022 |
| Aegis Capital Corp | New York | NY | 01/2023 | 02/2023 |
| Alliance Global Partners | New York | NY | 02/2023 | Present |
Tavel Financial, Longmeadow MA; Investment Related, Real Estate Rental Property, Business Development; Founder, Start Date: 2010; 4 hours per month devoted to business, 0 hours during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-09-04 |
| S63 | Uniform Securities Agent State Law Examination | 1993-06-02 |
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