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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 | 2006-11-16 |
| TX | RA | APPROVED_RES | 2006-09-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Mount Kisco | NY | 03/2006 | Present |
| Bank Of America,Na | Mount Kisco | NY | 08/2009 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-12-29 |
| S65 | Uniform Investment Adviser Law Examination | 1993-07-02 |
| S63 | Uniform Securities Agent State Law Examination | 1993-05-28 |
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