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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 |
| SC | RA | APPROVED | 2020-10-13 |
| TX | RA | APPROVED_RES | 2012-02-28 |
| NJ | RA | APPROVED | 2009-10-23 |
Branch Locations
360 Hamilton Ave, White Plains, NY 10601 • United States
Isle Of Palms, SC • United States
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 |
|---|---|---|---|---|
| Bank Of America, N.A. | White Plains | NY | 10/2004 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chappaqua | NY | 10/2009 | Present |
I*82766 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: DBA THOMAS AND DEBORAH BARNWELL INVESTMENT RELATED: N ADDRESS OF BUSINESS: GREENWICH, CONNECTICUT 6830 NATURE OF BUSINESS: FAMILY BUSINESS, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 7/4/2015 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL OF VACATION PROPERTY IN SOUTH CAROLINA
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-08-06 |
| S63 | Uniform Securities Agent State Law Examination | 1996-09-04 |
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