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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2012-06-04 |
| CT | RA | APPROVED | 2009-10-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Fairfield | CT | 10/2009 | Present |
| Bank Of America, N.A. | Fairfield | CT | 06/2011 | Present |
I*2164294, Entity Type, Name of OBA: Compo Mill Cove Association Address: Westport Connecticut06880 Investment Related: No Position, Title, Association: Treasurer Employee Start Date:01/16/2025 No Hours: 1 weekly No Hours during trading: 0 Duties: my neighborhood homeowners association in which I reside, collects fees from residents and cover's expenses on common areas. I will be acting Treasurer and help with related banking activities, deposits and expense.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-08-21 |
| S63 | Uniform Securities Agent State Law Examination | 1996-02-12 |
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