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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2023-11-20 |
| NY | RA | APPROVED | 2021-04-19 |
| TX | RA | APPROVED_RES | 2014-09-26 |
| NJ | RA | APPROVED | 2002-12-03 |
Branch Locations
One Bryant Park Pbig - Ny Midtown, New York, NY 10036 • United States
Wilton, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 05/2002 | Present |
| Bank Of America, Na | New York | NY | 01/2010 | Present |
I*18534 For profit or not for profit: Non-Profit Organization Name of outside business organization: Whitman College Investment related: Y Address of business: Walla Walla, Washington 99362 Nature of business: Other,Undergraduate education Position, title, association: Committee Member, Start date of relationship: 0001-01-01 Number of hours devoted: 60 hour(s) Annually Number of hours devoted during trading hours: 20 Duties: college / education Member of the Board of Overseers
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-11-27 |
| S63 | Uniform Securities Agent State Law Examination | 1996-09-05 |
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