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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VT | RA | APPROVED | 2023-01-23 |
| NY | RA | APPROVED | 2021-04-19 |
| TX | RA | APPROVED | 2004-11-01 |
| CT | RA | APPROVED | 2004-10-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Ridgefield | CT | 10/2004 | Present |
| Bank Of America, N.A. | Ridgefield | CT | 09/2011 | Present |
I*32168 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: MOUNT SNOW VERMONT USA INVESTMENT RELATED: N ADDRESS OF BUSINESS: MOUNT SNOW, VT 05356, WEST DOVER, CONNECTICUT 5356 NATURE OF BUSINESS: OTHER,4 SEASON RESORT POSITION, TITLE, ASSOCIATION: OTHER, MOUNTAIN SAFETY START DATE OF RELATIONSHIP: 12:00:00 AM NUMBER OF HOURS DEVOTED: 12 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: ON HILL SKIING SERVICES - NON INVESTMENT RELATED FIRST TRACKS GUIDE, MOUNTAIN SAFETY I*37266 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: LANCE ASSOCIATES INVESTMENT RELATED: N ADDRESS OF BUSINESS: 64 CANTERBURY LANE, RIDGEFIELD, CONNECTICUT 6877 NATURE OF BUSINESS: FAMILY BUSINESS, POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 1/1/1990 NUMBER OF HOURS DEVOTED: 25 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: FAMILY PARTNERSHIP
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-06-24 |
| S63 | Uniform Securities Agent State Law Examination | 1984-03-29 |
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