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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2010-06-04 |
| TX | RA | APPROVED_RES | 1995-01-26 |
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 | Greenwich | CT | 01/1994 | Present |
I* 1733278 For profit or not for profit: Entity For Profit Name of outside business organization: Farview Farm Association Inc Investment related: no Address of business: Redding, CT, 06896 Nature of business: HOA, Co-op, Freehold Position, title, association: Other Start date of relationship: 04/01/2024 Number of hours devoted: 1 monthly Number of hours devoted during trading hours: 0 Duties: Board member of Homeowners association where I live. As a board member, I will work with fellow board members on items pertaining to our community (~40 home owners), general management of affairs of the Association, community areas, recreational facilities, attend director meetings and general membership meetings.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-02-22 |
| S63 | Uniform Securities Agent State Law Examination | 1995-01-25 |
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