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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-05-12 |
| NY | RA | APPROVED | 2021-04-19 |
| CT | RA | APPROVED | 2021-03-09 |
| TX | RA | APPROVED_RES | 2013-07-12 |
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 |
|---|---|---|---|---|
| Bank Of America, N.A. | Mount Kisco | NY | 08/2013 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Mount Kisco | NY | 07/2013 | Present |
I*2876279 Entity Type: Charitable Name of OBA: United We Rock Address:Ocean Ridge Florida Investment Related:No Position, Title, Association:Board Member Start Date:09/16/2025 No Hours: 2 Monthly No Hours during trading:0 Monthly Duties: As a Director of United We Rock Foundation Inc., the Board member commits to upholding their fiduciary duties of care, loyalty, and obedience; supporting the mission and strategic goals of the organization; actively participating in Board meetings, committees, and events; making a meaningful annual financial contribution; assisting with fundraising and leveraging personal and professional networks; serving as an ambassador of the Foundation while maintaining confidentiality; and ensuring the organization's financial health, compliance, and accountability. They recognize that their role is to provide advocacy to advance the Foundation's mission of empowering lives through music and art.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-03-05 |
| S65 | Uniform Investment Adviser Law Examination | 1995-05-02 |
| S63 | Uniform Securities Agent State Law Examination | 1984-06-21 |
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