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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 | 2020-03-31 |
| TX | RA | APPROVED | 2015-02-27 |
| CA | RA | APPROVED | 2015-02-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Scottsdale | AZ | 01/2000 | Present |
| Bank Of America, N.A. | Scottsdale | AZ | 06/2011 | Present |
I*11035 Nature of business: Rental Property Name of outside business organization: Rental Property Investment related: No Address of business: Endicott, New York 13760 Position, title, association: owner Start date of relationship: 5/3/2021 Number of hours devoted: 1 hour Number of hours devoted during trading hours: 0 I*3092 Nature of business: Rental Property Name of outside business organization: Rental Investment related: No Address of business: Scottsdale, Arizona 85258 Position, title, association: Owner Start date of relationship: 2/19/2015 Number of hours devoted: 1 hour Number of hours devoted during trading hours: 0 I*11033 Nature of business: Rental Property Name of outside business organization: M. W. Investment related: No Address of business: Binghamton, New York 13905 Position, title, association: Sole owner Start date of relationship: 5/3/2021 Number of hours devoted: 1 hour Number of hours devoted during trading hours: 0 Duties: Sole owner of rental property I*11034 Nature of business: Rental Property Name of outside business organization: M. W. Squires Ave Investment related: No Address of business: Endicott, New York 13760 Position, title, association: Sole owner Start date of relationship: 5/3/2021 Number of hours devoted: 1 hour Number of hours devoted during trading hours: 0 Duties: Sole owner of rental property I*2076298 Entity Type Fiduciary Name of OBA: Estate of T S Address: Vestal, New York, 13850 Investment Related: No Position, Title, Association: Executor Employee Start Date: 15-Nov-2024 No Hours: 15 yearly No Hours during trading: 0 Duties: Executor I*: 2186267 Entity Type: Rental Property Name of OBA: Rental Property 1 Address: Sarasota, FL 34238 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 02/03/2025 Number of Hours: 1 hr annually Number of Hours during trading: 0 Duties: Co-owner with other family members of rental property
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-12-05 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-26 |
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