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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2000-08-04 |
| CT | RA | APPROVED | 1996-02-28 |
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 | New London | CT | 07/1995 | Present |
| Bank Of America, N.A. | New London | CT | 07/2011 | Present |
I*: 2912287Entity Type: Fiduciary roleName of OBA: T. Q. M.Address: Mystic, CT 06355Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 10/24/2025Number of Hours: 2 hrs annuallyNumber of Hours during trading: 2 hrs annuallyDuties: Power of Attorney / Child/GrandchildI*3272270, Entity Type: Entity Charitable, Name of OBA: Ocean Community YMCA, Address: Mystic, Connecticut, 06355, Investment Related: N, Position, Title, Association: Board Member, Employee State Date: 01/01/2026, No Hours: 5 Monthly, No Hours during Trading: 5 Monthly, Duties: I would serve as a member of the board of trustees. In that role, we would be monitoring the current operations and future plans for the organization. inspire the common good and make life better for individuals, families, and communities. I*4368267 Entity Type: N/A Name of OBA: MLPF& S CUST FBO P E K DCSD IRA FBO L M L Address: Mystic, Connecticut Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 04/09/2026 Number of Hours: 0, Weekly Number of Hours during trading: 0, Weekly Duties: Parents
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-09-29 |
| S63 | Uniform Securities Agent State Law Examination | 1995-09-22 |
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