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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
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Williamsville | NY | 06/1994 | Present |
| Bank Of America, N.A. | Williamsville | NY | 07/2011 | Present |
I*: 2175417 Entity Type: Entity Charitable Name of OBA: The Summit Center - Investment Committee Address: Getzville, NY 14068 Investment Related: No Position, Title, Association: Committee Employee Start Date: 01/29/2025 Number of Hours: 3 hrs annually Number of Hours during trading: 1.5 hrs annually Duties: Summit is a school for children on the Autism Spectrum (pre-k to grade 12). They started up this Investment Committee because they just received a large gift . Now with these dollars, Summit wanted to get a more formal investment committee and process. They are going to use outside RIAs or Trust companies. The Investment committee will be reviewing the 3 candidates (investment firms) to manage Summit's Endowment and vote on who will manage their account. Ongoing responsibilities will be monitoring the managers and their performance. No specific investments transactions will be done by the committee.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-09-08 |
| S63 | Uniform Securities Agent State Law Examination | 1994-08-16 |
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