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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-06 |
| TX | RA | APPROVED | 2019-09-04 |
Branch Locations
6225 Sheridan Drive Suite 318, Williamsville, NY 14221-4800 • United States
East Aurora, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Buffalo | NY | 01/1983 | 09/2019 |
| Bank Of America,Na | Buffalo | NY | 12/2009 | 09/2019 |
| Rbc Capital Markets, Llc. | Williamsville | NY | 09/2019 | Present |
| City National Bank | Williamsville | NY | 02/2020 | Present |
I*37883 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SECOND HOME IN SKANEATELES, NY INVESTMENT RELATED: N ADDRESS OF BUSINESS: SKANEATELES, NEW YORK 13152 NATURE OF BUSINESS: OTHER,OWNED JOINTLY WITH MY WIFE POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 9/15/2010 NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS MY SUMMER HOME WHICH I MAY BE RENTING FROM SEPTEMBER 2015 THROUGH JUNE 30, 2016
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-10-22 |
| S63 | Uniform Securities Agent State Law Examination | 1983-04-13 |
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