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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2023-03-20 |
| TX | RA | APPROVED_RES | 2011-06-17 |
| CT | RA | APPROVED | 2010-12-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New Canaan | CT | 09/2010 | Present |
| Bank Of America, N.A. | New Canaan | CT | 05/2011 | Present |
I*1021310, Name of OBA: 598 SBC LLC Address: Colchester, VT Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 9/21/2022 No Hours: 10 Monthly No Hours during trading: 0 Duties:LLC created for ownership and operation of a newly purchased vacation home in VT
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2011-04-11 |
| S65 | Uniform Investment Adviser Law Examination | 2010-12-17 |
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