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Account
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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-05-06 |
| TX | RA | APPROVED_RES | 2021-04-22 |
Branch Locations
1 Jericho Plaza Suite 106, Jericho, NY 11753-1635 • United States
Woodbury, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Great Neck | NY | 10/1995 | 04/2021 |
| Bank Of America,Na | Great Neck | NY | 12/2009 | 04/2021 |
| Rbc Capital Markets, Llc | Jericho | NY | 04/2021 | Present |
| City National Bank | New York | NY | 05/2021 | Present |
(1) NAME OF ENTITY: Investment and Wealth Institute ADDRESS: 5619 DTC Parkway Suite 600 Greenwood Village, CO 8011 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Investment and Wealth Management training and education. CAPACITY: Committee/Council Member (not associated with the Board of Directors) START DATE:03/01/2024 DUTIES: For a Hearing, we select 3 members of the Ethics committee to review a matter of one of our certificants. A prehearing call is held (10 minutes) with the hearing panel to go over the case and select a chair. Materials are sent to each panel member to review prior to the hearing. The hearing is on a later date with the 3 panel members, the respondent, IWI staff and a court reporter. The hearing is done via Zoom and usually lasts an hour and a half. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-01-31 |
| S63 | Uniform Securities Agent State Law Examination | 1995-12-21 |
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