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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-09-18 |
| 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 | Darien | CT | 10/2009 | Present |
| Bank Of America,N.A. | Darien | CT | 06/2011 | Present |
I*2389308, Entity Type Non-Profit, Name of OBA: St Thomas Church Norwalk CT Address: Norwalk CT 06855 Investment Related: No Position, Title, Association: Member , Finance Committee Employee Start Date: 6/1/2025 No Hours: 2 monthly No Hours during trading: 0 Duties: Parish Finance Committee, responsible for development and use of Parish grounds and property
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-01-29 |
| S63 | Uniform Securities Agent State Law Examination | 1982-10-28 |
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