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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 |
| TX | RA | APPROVED_RES | 2013-02-07 |
| PA | RA | APPROVED | 2013-01-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Middletown | NY | 01/2013 | Present |
| Bank Of America, N.A. | Middletown | NJ | 04/2013 | Present |
FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: 406 BROAD STREET LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: MILFORD, PENNSYLVANIA 18337 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 3/7/2013 NUMBER OF HOURS DEVOTED: 24 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 4 DUTIES: RENTAL BUILDING-LANDLORD
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-04-14 |
| S63 | Uniform Securities Agent State Law Examination | 1993-11-11 |
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