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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VT | RA | APPROVED | 2020-11-10 |
| TX | RA | APPROVED_RES | 2019-06-03 |
| CT | RA | APPROVED | 2019-05-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Waltham | MA | 06/2009 | 05/2019 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 05/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Wellesley Hills | MA | 05/2019 | Present |
| Bank Of America, N.A. | Wellesley Hills | MA | 05/2019 | Present |
I*8425For profit or not for profit: Name of outside business organization: Rental Property Investment related: Address of business:York, Maine 03909Nature of business: , Position, title, association: , Start date of relationship: 10/1/2002Number of hours devoted: 2 hour(s) Number of hours devoted during trading hours: 0Duties: I*8426For profit or not for profit: Name of outside business organization: Rental Property Investment related: Address of business:Andover, Massachusetts 01810Nature of business: ,Position, title, association: , Start date of relationship: 6/1/2005Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0Duties:I*902251For profit or not for profit: Name of outside business organization: Northeastern UniversityInvestment related: NAddress of business: Boston, Massachusetts, 02115Nature of business: ["School, College or University"]Position, title, association: ["Employee"], Start date of relationship: 1/1/2023Number of hours devoted: 12 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , Teaching - FinanceOBA ID: 1661268OBA Name: Bentley UniversityStart Date: 1/22/2024Location: Waltham, MARole: EmployeeInvestment Related Activity: YesDuties: Teaching. I*2029322, Entity Type, Entity for Profit, Name of OBA: Concord Roth LLC, Address: Concord, MA, 01742, Investment Related: No, Position, Title, Association: Owner, Employee Start Date: 10/01/2024, No Hours: 5hrs/Ann, No Hours during trading: 0, Duties: Real estate investments, owner.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-11-14 |
| S65 | Uniform Investment Adviser Law Examination | 1995-06-15 |
| S63 | Uniform Securities Agent State Law Examination | 1995-03-06 |
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