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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VT | RA | APPROVED | 2020-11-09 |
| NJ | RA | APPROVED | 2004-03-17 |
| TX | RA | APPROVED_RES | 1999-02-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Morristown | NJ | 02/1995 | Present |
| Bank Of America, N.A. | Florham | NJ | 05/2011 | Present |
I*130170 For profit or not for profit: Non-Profit Organization Name of outside business organization: Morristown Medical Center Investment related: N Address of business: Morristown, New Jersey 07960 Nature of business: Other,501c3 Position, title, association: Advisory Board Member, Start date of relationship: 2/26/2020 Number of hours devoted: 20 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Board member responsible for fund raising activity
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-02-15 |
| S63 | Uniform Securities Agent State Law Examination | 1995-11-06 |
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