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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 | 1997-04-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Niagra Falls | NY | 09/1993 | Present |
| Bank Of America, N.A. | Buffalo | NY | 07/2011 | Present |
I*29633 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: THE ZOAR INVESTMENT RELATED: N ADDRESS OF BUSINESS: 7635 ZOAR VALLEY RD, SPRINGVILLE, NEW YORK 14141 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 9/5/2006 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MY WIFE RUNS CABIN RENTALS FOR FISHING. MY RESPONSIBILITY IS TO MAKE SUR ETHE LAWN LOOKS NICE AROUND THEM I*128918 For profit or not for profit: For-Profit Organization Name of outside business organization: 2020 Zoar llc Investment related: N Address of business: springville, New York 14141 Nature of business: LLC, Position, title, association: Family Held, Start date of relationship: 1/29/2020 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: an llc made up of my father and mother and my self and my wife to buy a building and convert it to a cricket farm and bakery for cricket bars. 25% ownership each
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-01-31 |
| S63 | Uniform Securities Agent State Law Examination | 1993-12-21 |
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