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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2012-03-27 |
| TX | RA | APPROVED | 2012-03-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Westport | CT | 03/2012 | Present |
| Bank Of America, N.A. | Westport | CT | 05/2012 | Present |
I*130234 For profit or not for profit: Non-Profit Organization Name of outside business organization: Celebrate the Beat Investment related: N Address of business: Denver, Colorado 80211 Nature of business: Charitable Organization Position, title, association: Director Start date of relationship: 3/18/2020 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Organization teaches dance to public school children in CO. I will be a board member helping with budgeting. This is similar to my work the National Dance Institute. NATIONAL DANCE INSTITUTE, NEW YORK, NY 10039; NON-INVESTMENT RELATED; COMMENCE DATE: 04/01/1996; 5 HRS MTHLY, NONE DURING TRADING HOURS, DIRECTOR I*129682 For profit or not for profit: Non-Profit Organization Name of outside business organization: Rowayton Historical Society Investment related: N Address of business: Rowayton, Connecticut 6853 Nature of business: Charitable Organization, Position, title, association: Director, Start date of relationship: 2/11/2020 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Historical Society and I will be a Board member I*1979270, Entity Type, Fiduciary, Name of OBA: T.H., Address: Norwalk, CT, 06853, Investment Related: No, Position, Title, Association: Executor, Employee Start Date: 08/28/2024, No Hours: 100hrs/Ann, No Hours during trading: 10, Duties: I*1979270, Entity Type Fiduciary , Name of OBA: TH Address: Norwalk, Connecticut, 06853 Investment Related: Yes Position, Title, Association: Executor Employee Start Date: 28-Aug-2024 No Hours: 100 Yearly No Hours during trading: 10 yearly Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-03-02 |
| S63 | Uniform Securities Agent State Law Examination | 2004-01-14 |
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