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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-02-02 |
| CT | RA | APPROVED | 2007-07-13 |
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 | Ridgefield | CT | 07/2007 | Present |
| Bank Of America,N.A. | Ridgefield | CT | 06/2011 | Present |
I*110506 For profit or not for profit: Non-Profit Organization Name of outside business organization: Western Connecticut State University Foundation Investment related: Y Address of business: Danbury, Connecticut 6810 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 1/1/2018 Number of hours devoted: 6 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: to serve on the Investment Committee of WCSU Foundation per Investment Policy Statement at the pleasure of Board of Directors
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-22 |
| S63 | Uniform Securities Agent State Law Examination | 1996-03-07 |
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