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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2020-08-06 |
| TX | RA | APPROVED_RES | 2020-08-06 |
Branch Locations
200 Park Avenue 2Nd Floor, Florham Park, NJ 07932-1026 • United States
Mendham, NJ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Morristown | NJ | 10/2011 | 08/2020 |
| Bank Of America, N.A. | Florham Park | NJ | 01/2012 | 08/2020 |
| Rbc Capital Markets, Llc | Florham Park | NJ | 08/2020 | Present |
NAME OF ENTITY: 3701 Palm Blvd. ADDRESS: 3701 Palm Blvd. Isle of Palms, SC INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Vacation Rental Property/2nd Home/Winter CAPACITY: Owner - Active START DATE: 12/23/22 DUTIES: My Wife and I are owners of the property, most of our duties are to supervise/approve decisions made by our rental agent or maintenance person HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-04-01 |
| S63 | Uniform Securities Agent State Law Examination | 1987-05-01 |
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