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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-05-02 |
| NJ | RA | APPROVED | 2013-04-30 |
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 | Summit | NJ | 04/2013 | Present |
| Bank Of America, N.A. | Summit | NJ | 05/2013 | Present |
I*12118 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RARITAN YACHT CLUB INVESTMENT RELATED: N ADDRESS OF BUSINESS: 160 WATER ST, PERTH AMBOY, NEW JERSEY 8861 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 1/1/2009 NUMBER OF HOURS DEVOTED: 3 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: DIR OF FINANCE OVER SEE BUDGET
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-09-27 |
| S63 | Uniform Securities Agent State Law Examination | 1992-10-30 |
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