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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2015-10-21 |
| TX | RA | APPROVED_RES | 2015-10-12 |
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 | Stamford | CT | 10/2015 | Present |
| Bank Of America, N.A. | Stamford | CT | 11/2015 | Present |
I*1100266For profit or not for profit: Name of outside business organization: Rental Property 1Investment related: NAddress of business: Seaview, New YorkNature of business: Position, title, association: Sole owner, Start date of relationship: 7/11/2023Number of hours devoted: 336 hour(s) WeeklyNumber of hours devoted during trading hours: 24Duties: I*2806315 Entity Type: Entity For Profit Name of OBA: DWB Investments LLC Address: Norwalk, Connecticut Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 04/20/2023 Number of Hours: 1, Yearly Number of Hours during trading: 0, Yearly Duties: Account accept distributions from real estate. None
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-12-04 |
| S63 | Uniform Securities Agent State Law Examination | 1984-05-10 |
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