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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2008-09-11 |
| TX | RA | APPROVED_RES | 1986-03-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Stamford | CT | 06/1968 | Present |
| Bank Of America, N.A. | Stamford | CT | 07/2011 | Present |
1)FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: DE WITT CLINTON SCHOLARSHIP & STUDENT AID FUND.INVESTMENT RELATED: YADDRESS OF BUSINESS:ELMSFORD, NEW YORK 10523POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 41155NUMBER OF HOURS DEVOTED: 4 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: THE FUND IS MADE UP OF CONTRIBUTIONS BY GRADUATES OF DE WITT CLINTON HIGH SCHOOL, WITH STIPULATIONS FOR GRANTS TO CURRENT HIGH SCHOLL GRADUATES. I AM PRESIDENT OF THE BOARD THAT OVERSEES THE FUNDS AND MAKES THE DISTRIBUTIONS TO THE GRADUATES.I*32784For profit or not for profit: For-Profit OrganizationName of outside business organization: C & I collectablesInvestment related: NAddress of business:Broadway, New York, Harrison, Elmsford, New York 10523Nature of business: S-Corp,Position, title, association: Owner, Start date of relationship: 3/1/1991Number of hours devoted: 10 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: i am one of the owners of this company along with my son.the company sells sports collectables and I do the accounting for the company. I*3522266 Entity Type: N/A Name of OBA: F C Address: Bronx, New York, 10463 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 01/13/2026 Number of Hours: 1, Monthly Number of Hours during trading: 0, Monthly Duties: Cousin
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-09-02 |
| S63 | Uniform Securities Agent State Law Examination | 1982-11-15 |
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