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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2017-01-19 |
Branch Locations
29 S Main St, West Hartford, CT 06107 • United States
115 W Century Rd, Paramus, NJ 07652 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| M Holdings Securities, Inc. | Portland | OR | 12/2014 | 09/2016 |
| Lindberg & Ripple | West Hartford | CT | 08/2011 | 09/2016 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | West Hartford | CT | 09/2016 | Present |
| Bank Of America, N.A. | West Hartford | CT | 09/2016 | Present |
I*127875 Entity Type: Non-Profit Organization Name of outside business organization: Catholic Charities Archdiocese of Hartford Investment related: No Address of business: Hartford, Connecticut 06105 Position, title, association: Trustee Start date of relationship: 10/24/2019 Number of hours devoted: 2 hours Monthly Number of hours devoted during trading hours: 0 Duties: The entity provides individuals and families with basic needs and services. I will serve in an advisory capacity as a trustee. The executive director will bring forth questions and issues that he will look to the board of trustees for input on.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-01-18 |
| S63 | Uniform Securities Agent State Law Examination | 2015-01-22 |
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