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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-19 |
| NJ | RA | APPROVED | 2004-06-01 |
| TX | RA | APPROVED_RES | 1995-04-13 |
Branch Locations
57 Hampton Rd, Southampton, NY 11968 • United States
Southampton, NY • United States
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 | New York City | NY | 12/1994 | Present |
| Bank Of America, Na | New York | NY | 09/2009 | Present |
NAME OF BOOK: NONPROFIT INVESTMENT AND DEVELOPMENT: A COMPLETE GUIDE TO FINANCE AND ECONOMIC; NOT INVESTMENT RELATED; NEW YORK, NY; PUBLISHING BOOK; AUTHOR; START DATE: 02/08/2011; HOURS DEVOTED PER MONTH: 0; 0 HOURS DEVOTED DURING TRADING HOURS; PLAN TO CHANGE THE NAME & REPUBLISH BOOK UNDER THE NEW TITLE "NONPROFIT INVESTMENT AND DEVELOPMENT: A COMPLETE GUIDE TO FINANCE AND ECONOMIC". III. 1.FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION 2.NAME OF OUTSIDE BUSINESS ORGANIZATION: NONPROFIT INVESTMENT & DEVELOPMENT SOLUTIONS 3.INVESTMENT RELATED: N 4.ADDRESS OF BUSINESS: 2 WORLD FINANCIAL CENTER, 40TH FL, NEW YORK, NEW YORK 10281 6.POSITION, TITLE, ASSOCIATION: OTHER, AUTHOR 7.START DATE OF RELATIONSHIP: 2/8/2011 8.NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLY 9.NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 10.DUTIES: AUTHOR
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-05-04 |
| S63 | Uniform Securities Agent State Law Examination | 1983-07-08 |
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