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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2004-04-01 |
| TX | RA | APPROVED_RES | 1999-11-11 |
Branch Locations
1 disclosure category 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 |
|---|---|---|---|---|
| Bank Of America, N.A. | Princeton | NJ | 07/2011 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Lawrenceville | NJ | 08/1989 | Present |
I*401685For profit or not for profit: Entity CharitableName of outside business organization: Hemophilia Association of New JerseyInvestment related: YAddress of business: East Brunswick, New Jersey, 08816Nature of business: Charitable OrganizationPosition, title, association: Committee, Board Member, Officer, Executive committee, Finance committee, Investment committeeStart date of relationship: 7/1/2023Number of hours devoted: 10 hours MonthlyNumber of hours devoted during trading hours: 0Duties: , I am the Secretary of the Executive Board and serve on the Budget & Finance and Investment CommitteesDuties include: Working with the staff on the creation of the upcoming fiscal budget, presenting budget recommendations to the board for discussion and approval, monitoring the implementation of the approved budget; budget revisions, provide oversight of the Associations assets with no individual or direct control over any funds or check writing privileges I*: 1235253Entity Type: Name of OBA: Forsgate Country Club Address: Monroe Twp, NJ 08831Investment Related: No Position, Title, Association: Chairman - Board of Governors. Employee Start Date: April 1, 2026 Number of Hours: 10 hrs annually Number of Hours during trading: 2 Duties: Act as a liaison between Membership and Management, addressing concerns with respect to golf, food and beverage, and social activities held at the club, Private Golf Club
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-10-19 |
| S63 | Uniform Securities Agent State Law Examination | 1994-12-07 |
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