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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2009-06-25 |
| CT | RA | APPROVED | 1997-06-30 |
Branch Locations
301 Tresser Blvd, Stamford, CT 06901 • United States
300 Broadhollow Rd, Melville, NY 11747 • United States
Bridgeport, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Mount Kisco | NY | 11/1985 | Present |
I*215 For profit or not for profit: Financial Self-Regulatory Organization Name of outside business organization: FINRA -Arbitrator Investment related: Y Address of business: Washington, District of Columbia 20006 Nature of business: Serve on arbitration panels, Position, title, association: Arbitrator, Start date of relationship: 4/28/2009 Number of hours devoted: 2 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: panelist
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-05-23 |
| S63 | Uniform Securities Agent State Law Examination | 1985-07-19 |
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