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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-06 |
| TX | RA | APPROVED | 2014-11-13 |
Branch Locations
455 Patroon Creek Blvd. Suite 200, Albany, NY 12206-5011 • United States
18 Division Street Suite 208, Saratoga Springs, NY 12866 • United States
Saratoga Springs, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Albany | NY | 11/2014 | Present |
| City National Bank | Albany | NY | 12/2016 | Present |
(1) Name of Entity: Griffin & Chase LLC Address of Business: 10 Saddle Brook Drive Saratoga Springs NY 12866 Business Description: Member of LLC that owns residential apartments Business is not investment related Projected Start Date - 12/22/2015 Projected End Date -No anticipated end date Capacity - Sole Proprietor Duties Performed - Oversight and making spending decisions. A management company oversees the daily operations. 4 hours devoted to this OBA per month 0 hours devoted during security trading hours per month (2) Name: Carlilian Foundation Address: The Carlilian Foundation provides capital improvement grants to benefit the people of Schenectady. Business Description: 10/01/20 Business is not investment related Projected Start Date: Treasurer Capacity: Primarily check writing and helping to decide which organizations will receive grants Duties Performed: Devoted to this OBA per Month: 0.5 Hours Devoted to this OBA during business hours: 0 (3) NAME OF ENTITY: Carlilian Foundation ADDRESS: 251 State St Suite 202 Schenectady NY 12305 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: Nov 30, 2021 CAPACITY: Other DUTIES: Meet with board members to vote on grant disbursements to community organizations. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-02-18 |
| S63 | Uniform Securities Agent State Law Examination | 1999-12-21 |
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