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1450 Brickell Avenue Suite 2610, Miami, FL 33131 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2021-04-16 |
Branch Locations
1450 Brickell Avenue Suite 2610, Miami, FL 33131 • United States
555 Heritage Road Ste. 2W, Southbury, CT 06488 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Southbury | CT | 10/2010 | 04/2021 |
| Bank Of America, N.A. | Southbury | CT | 07/2011 | 04/2021 |
| Sanctuary Wealth | Southbury | CT | 04/2021 | Present |
(1) For profit or not for profit: Non-Profit Organization Name of outside business organization: Southbury Middlebury Scholarship Foundation Investment related: N Address of business: Middlebury, Connecticut 06762 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 3/6/2019 Number of hours devoted: 30 hour(s) Annually Number of hours devoted during trading hours: 4 Duties: Help determine scholarship recipients based upon need and achievement
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-13 |
| S63 | Uniform Securities Agent State Law Examination | 1998-08-14 |
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