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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2016-11-14 |
| TX | RA | APPROVED_RES | 2016-11-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley & Co. Incorporated | Red Bank | NY | 04/2008 | 11/2016 |
| Morgan Stanley Smith Barney | Red Bank | NJ | 06/2009 | 11/2016 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 11/2016 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Red Bank | NJ | 11/2016 | Present |
| Bank Of America, N.A. | Red Bank | NJ | 02/2017 | Present |
I*102978FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: KNIGHTS OF COLUMBUSINVESTMENT RELATED: NADDRESS OF BUSINESS:TOMS RIVER, NEW JERSEY 8753NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 3/1/2015NUMBER OF HOURS DEVOTED: 3 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: COMMITTEE MEMBER RESPONSIBLE FOR FUNDRAISING FOR THE ORGSNIZATIONI*107652FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: AMERICAN CANCER SOCIETYINVESTMENT RELATED: NADDRESS OF BUSINESS:MANASQUAN, NEW JERSEY 8736NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 1/2/2012NUMBER OF HOURS DEVOTED: 25 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: VOLUNTEER AND BUSINESS COMMITTEE MEMBER I*: 1701349Entity Type: Entity CharitableName of OBA: Georgian Court UniversityAddress: Lakewood, NJInvestment Related: NoPosition, Title, Association: Board MemberEmployee Start Date: 02/23/2024Number of Hours: 2 weeklyNumber of Hours during trading: 0Duties: Quarterly meetings to review University policies, budget, create new programs for students to make sure everything is being run efficiently.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-03-27 |
| S63 | Uniform Securities Agent State Law Examination | 1983-05-11 |
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