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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2009-10-23 |
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 | Gardner | MA | 10/2009 | Present |
| Bank Of America, N.A. | Worcester | MA | 05/2011 | Present |
I* 1697283 For profit or not for profit: Entity For Profit Name of outside business organization: EMT DFesignation Investment related: no Address of business: Massachusetts, 01453 Nature of business: Corporation Position, title, association: Other Start date of relationship: 04/01/2024 Number of hours devoted: 5 weekly Number of hours devoted during trading hours: 0 Duties: I recently obtained my EMT certification. I am looking to work 1 day a week. I will request nights or weekends. Also, I am trying to only do 5 hours a week.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-07-02 |
| S63 | Uniform Securities Agent State Law Examination | 1982-08-30 |
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