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191 Mason Street, Greenwich, CT 06830 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2000-02-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| G.rEsearch, Llc | Rye | NY | 01/1995 | Present |
| Gamco Investors, Inc. | Rye | NY | 01/1995 | Present |
| Gabelli Funds, Llc | Rye | NY | 02/1999 | Present |
| The Gabelli Growth Funds | Rye | NY | 01/1995 | Present |
| Teton Advisors, Inc. | Rye | NY | 05/2010 | 05/2017 |
(1)BOARD MEMBER CBB LLC, A LLC WHICH PROVIDES CHINESE ECONOMIC ANALYSIS, SINCE DECEMBER 2011. 0 TIME SPENT ON THIS ACTIVITY DURING TRADING HOURS. INVESTMENT RELATED. BUSINESS ACTIVITIES CONDUCTED OFF OF BRANCH PREMISES.(2) CO-TRUSTEE FOR THE EDWARD H. BRAGG JR.CREDIT SHELTER TRUST SINCE NOVEMBER 2013. APPROXIMATELY 2 MEETINGS PER YEAR. INVESTMENT RELATED. BUSINESS ACTIVITIES CONDUCTED OFF OF BRANCH PREMISES. (3) Heartcare International/Not Investment Related/139 East Putnam Ave, Greenwich, CT 06830/Head of Asset Management Committee and Board Member/Start date June 2019, Board Member as of Fall 2018/1 hour per month during non-securities trading hours/The committee expects to invest in pooled vehicles. (4) American Foundation for the Blind, Not investment related, 1401 South Clark Street, suite 730, Arlington VA 22202, Develop Programs to help the blind, volunteer member of Finance Committee, Start date should be February 2021, One hour per month, zero hours during securities trading hours, Duties include manager selection and evaluation and member of Finance Committee.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-09-30 |
| S63 | Uniform Securities Agent State Law Examination | 1982-10-21 |
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