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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-19 |
| CA | RA | APPROVED | 2017-12-05 |
| CT | RA | APPROVED | 2017-12-05 |
| TX | RA | APPROVED | 2012-08-10 |
Branch Locations
18 Division St, Saratoga Springs, NY 12866 • United States
Laquinta, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Saratoga Springs | NY | 08/2012 | Present |
| Bank Of America, N.A. | Saratoga Springs | NY | 01/2013 | Present |
FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SARATOGA AUTOMOBILE MUSEUM INVESTMENT RELATED: N ADDRESS OF BUSINESS: 110 AVE OF THE PINES, SARATOGA SPRINGS, NEW YORK 12866 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: TRUSTEE, START DATE OF RELATIONSHIP: 8/10/2012 NUMBER OF HOURS DEVOTED: 40 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 15 DUTIES: BOARD OF TRUSTEES
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-12-02 |
| S63 | Uniform Securities Agent State Law Examination | 1986-03-01 |
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