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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-03-07 |
| CT | RA | APPROVED | 2018-01-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pruco Securities Llc | White Plains | NY | 03/2016 | 11/2017 |
| Prudential Insurance Company Of America | White Plains | NY | 03/2016 | 11/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Southbury | CT | 11/2017 | Present |
| Bank Of America, N.A. | Southbury | CT | 02/2018 | Present |
I*354065For profit or not for profit: Name of outside business organization: Brookfield Lion's ClubInvestment related: NAddress of business: Brookfield, Connecticut, 06804Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , Member. Participating in charitable fund raising and providing eye glasses and eye exams top school aged children. I*1591260, Name of OBA: Brookfield Economic Development Committee Address: 100 Pocono Road, Brookfield, Connecticut, 06804, US Investment Related: N Position, Title, Association: Committee Employee Start Date: 12/01/2023 No Hours: 2 No Hours during trading: 0 Duties: Promote the Town of Brookfield, CT as a place where business owners would like to open a business.I*1578268, Entity Type:Charitable, Name of OBA: Capital Planning Ad-Hoc Committee Address:Brookfield, CT 06804 Investment Related:No Position, Title, Association: Member Employee Start Date: 1/1/2024 No Hours: No Hours during trading: Duties:The Board of Selectmen appointed a Capital Planning Ad-Hoc Committee members, term of office to be determined based upon need and goals, with a charge to review the capital expenditure plan and make recommendations to the Board of Education, Board of Selectmen and Board of Finance on which projects should be included in the annual budget, and to also review the 10-year Capital Plan to coordinate future capital spending plans. I*1591260 Entity Type: Entity Governmental Name of OBA: Brookfield Economic Development Committee Address: Brookfield, Connecticut Investment Related: No Position, Title, Association: Committee Employee Start Date: 12/01/2023 Number of Hours: 2, Monthly Number of Hours during trading: 0, Monthly Duties: Promote Business development in the town of Brookfield CT. Beautification and accessibility to town resources in order to promote town appeal to other outside business owners to move or develop their businesses to Brookfield, CT. Working with Land Use Department and Economic Development Chair person to promote town, Town Block Party, Flower Pots, Street Scape, etc.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-01-17 |
| S63 | Uniform Securities Agent State Law Examination | 2010-01-04 |
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