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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2013-09-26 |
| TX | RA | APPROVED_RES | 2008-03-26 |
| NJ | RA | APPROVED | 2004-04-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Morristown | NJ | 02/1984 | Present |
| Bank Of America, N.A. | Florham | NJ | 09/2009 | Present |
I*98182 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: COTTAGE RENTAL PROPERTY INVESTMENT RELATED: N ADDRESS OF BUSINESS: BREMEN, MAINE 4551 NATURE OF BUSINESS: FAMILY BUSINESS, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 6/1/2016 NUMBER OF HOURS DEVOTED: 3 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY I*2018354, Entity Type, Entity for Profit, Name of OBA: D&G Development Co., LLC, Address: Enfield, NC, 27823, Investment Related: No, Position, Title, Association: Other, Employee Start Date: 10/01/2024, No Hours: 2hrs/Mo, No Hours during trading: 0, Duties: Timber harvesting/sale and farm leasing. My responsibilities are simply to assist in managing the working capital and assist with bill payment. There are also situations where E. will pay bills from D&G that ultimately should be paid from his deceased son's Irrevocable or Family Trust. These payments become a loan from D&G and are paid back as soon as funds are available in the trusts mentioned above. Here too, my role is to assist E. and my wife G. (Trustee of D's trusts, Member of D&G, and POA for both E. and J. (Dad & Mom) with all of the above.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-12-15 |
| S63 | Uniform Securities Agent State Law Examination | 1986-09-26 |
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