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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 1990-07-12 |
| TX | RA | APPROVED_RES | 1988-03-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Fairfield | CT | 07/1983 | Present |
| Bank Of America,N.A. | Fairfield | CT | 06/2011 | Present |
I*44773 NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: THE PATTERSON CLUB INVESTMENT RELATED: NO ADDRESS OF BUSINESS: FAIRFIELD, CONNECTICUT 6824 POSITION, TITLE, ASSOCIATION: OFFICER START DATE OF RELATIONSHIP: 1/3/2011 NUMBER OF HOURS DEVOTED: 4 HOURS MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 DUTIES: VICE PRESIDENT. ONE OF 4 OFFICERS OF CLUB RESPONSBILE FOR GENERAL OVERSIGHT. I*47885 NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: THE FIRST TEE OF CONNECTICUT INVESTMENT RELATED: NO ADDRESS OF BUSINESS: ROCKY HILL, CONNECTICUT 6067 POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 1/1/2012 NUMBER OF HOURS DEVOTED: 20 HOURS ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 10 DUTIES: ATTEND 4 MEETINGS/YEAR. CONTRIBUTE TO THINKING ABOUT PROGRAMMING IDEAS FOR YOUTH. 3 YEAR TERM. I*: 2496295 Entity Type: Fiduciary role Name of OBA: L. V. Rev Trust Address: Fairfield, CT 06824 Investment Related: No Position, Title, Association: Trustee Employee Start Date: 05/27/2025 Number of Hours: 0 Number of Hours during trading: 0 Duties: Trustee for spouse
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-27 |
| S63 | Uniform Securities Agent State Law Examination | 1984-06-08 |
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