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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-03-09 |
| NJ | RA | APPROVED | 2004-03-17 |
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 | Westfield | NJ | 06/1981 | Present |
| Bank Of America,N.A. | Westfield | NJ | 06/2011 | Present |
I*115273 For profit or not for profit: For-Profit Organization Name of outside business organization: race horse Investment related: No Address of business: mountain lakes, New Jersey 7046 Position, title, association: Owner, Start date of relationship: 6/13/2018 Number of hours devoted: 0 Number of hours devoted during trading hours: 0 Duties: race horse .no responsibility I*1733260, Entity Type: For Profit, Name of OBA: jimd and llc Address: Mountain lakes, NJ 07046 Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date:01/02/2000 No Hours: 0 No Hours during trading: 0 Duties: LLC held a racehorse with a partner I*: 2434295 Entity Type: Fiduciary role Name of OBA: M. L. D. Address: Mountain Lakes, New Jersey, 07046 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 5/1/2025 Number of Hours: 1 hr wkly Number of Hours during trading: 1 hr wkly Duties: Power of Attorney for spouse
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-11-14 |
| S63 | Uniform Securities Agent State Law Examination | 1983-07-13 |
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