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1717 Arch Street, Philadelphia, PA 19103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2017-03-29 |
| FL | RA | APPROVED | 2017-03-06 |
| TX | RA | APPROVED | 2017-02-27 |
Branch Locations
555 Long Wharf Drive Long Wharf Maritime Center, 11Th Floor, New Haven, CT 06511 • United States
2 disclosure categories 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, P, F, & S | New Haven | CT | 06/1993 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New Haven | CT | 06/1993 | 02/2017 |
| Bank Of America,Na | New Haven | CT | 09/2009 | 02/2017 |
| Janney Montgomery Scott Llc | New Haven | CT | 02/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-08-24 |
| S63 | Uniform Securities Agent State Law Examination | 1998-03-04 |
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