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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2002-09-03 |
| CT | RA | APPROVED | 1989-11-06 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New Longdon | CT | 07/1977 | Present |
| University Of New Haven | New Haven | CT | 09/1978 | Present |
| Bank Of America, N.A. | New London | CT | 12/2009 | Present |
| Us Coast Guard Academy | New London | CT | 09/1991 | Present |
I*34224 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: NSS REALTY INVESTMENT RELATED: Y ADDRESS OF BUSINESS: NEWLONDON, CONNECTICUT 6320 NATURE OF BUSINESS: GENERAL PARTNERSHIP, POSITION, TITLE, ASSOCIATION: GENERAL PARTNER, START DATE OF RELATIONSHIP: 1/1/1992 NUMBER OF HOURS DEVOTED: 20 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: GENERAL PARTNER MAKES ALL REAL ESTATE AND SECURITIES DECISIONS, ACTIVELY MANAGES, LEASES PROPERTIES. ACTIVELY SELECTS AND EXECUTES SECURITIES POSITIONS. I*37844 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: INSTRUCTOR FINANCE ECONOMICS US COAST GUARD ACADEM INVESTMENT RELATED: N ADDRESS OF BUSINESS: 31 MOHEGAN AVE, NEW LONDON, CONNECTICUT 6320 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 29194 NUMBER OF HOURS DEVOTED: 100 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 50 DUTIES: COLLEGE TEACHER (2)1.FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION 2.NAME OF OUTSIDE BUSINESS ORGANIZATION: JIMMY'S GUITARS ON STATE 3.INVESTMENT RELATED: N 4.ADDRESS OF BUSINESS: POB 26, 107 STATE STREET NEW LONDON, CONNECTICUT 6320 5.NATURE OF BUSINESS: SOLE PROPRIETORSHIP, 7.POSITION, TITLE, ASSOCIATION: OWNER, 8.START DATE OF RELATIONSHIP: 2/1/2013 9.NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY 10.NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 11.DUTIES: ORDER NEW GUITARS AND ASSECORIES FOR SPINDRIFT GUITARS STORE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-06-28 |
| S63 | Uniform Securities Agent State Law Examination | 1980-01-29 |
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