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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2024-08-15 |
| TX | RA | APPROVED | 2024-08-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Janney Montgomery Scott Llc | Lancaster | PA | 11/2008 | 04/2018 |
| Stifel Nicolaus & Co Inc | Lancaster | PA | 04/2018 | 08/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Lancaster | PA | 08/2024 | Present |
| Bank Of America, N.A. | Lancaster | PA | 11/2024 | Present |
I*: 1974258Entity Type: Entity For ProfitName of OBA: Triode Media Group LtdAddress: Lancaster, PennsylvaniaInvestment Related: NoPosition, Title, Association: Owner - Chairman Film and video production company;Employee Start Date: 07/18/2015Number of Hours: 10 hrs mthlyNumber of Hours during trading: 1 hr mthlyDuties: I am the sole shareholder of this family owned Subchapter S Corporation. I am Chairman. My son is the manager. Strategic oversight responsibilities including financial and tax decisions I*: 1975259Entity Type: Entity For Profit - Real EstateName of OBA: Scudner Enterprises LLCAddress: Lancaster, PAInvestment Related: NoPosition, Title, Association: OwnerEmployee Start Date: 04/15/2015Number of Hours: 2 hrs mthlyNumber of Hours during trading: 0 Duties: I am the sole member of an LLC created to hold a commercial property.3. I*: 1976258Entity Type: Entity CharitableName of OBA: International Committee on English in the LiturgyAddress: Washington, DCInvestment Related: NoPosition, Title, Association: CommitteeEmployee Start Date: 01/07/2019Number of Hours: 8 hrs annuallyNumber of Hours during trading: 1 hr annuallyDuties: Committee member on the finance committee. We review the financial statements, audit and investments. I am not a board member or fiduciary. The purpose of the Commission is to prepare English translations of each of the Latin liturgical books; Finance Committee Member I*: 1975258Entity Type: Entity For ProfitName of OBA: Tetrode Power LLCAddress: Lancaster, PAInvestment Related: NoPosition, Title, Association: OwnerEmployee Start Date: 12/15/2023Number of Hours: 5 hrs mthlyNumber of Hours during trading: 0Duties: I am the sole member and founder of this LLC that owns Battery Energy Storage Equipment for rent in the film industry. formed to develop and rent battery energy storage system equipment to the film production industry I*1976257, Entity Type: Entity Charitable, Name of OBA: Pennsylvania College of Art & Design, Address: Lancaster, Pennsylvania, 17608, Investment Related: N, Position, Title, Association: ["Board Member"], Employee Start Date: 07/01/2019, No Hours: 4 Monthly, No Hours during Trading: 2 Monthly, Duties: I am a member of the Board of Trustees, the governing body of the college. I am the Vice Chair of the Board and no longer the chair of the Audit & Rick committee. I have no access or control over the financial accounts. I have one vote on an 18 member board for any board decisions. The Vice Chair's duties are to call and preside at meetings in the absence of the Chair. Pennsylvania College of Art & Design is a non-profit professional art college located in Lancaster, PA offering BFA degrees.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1991-07-02 |
| S63 | Uniform Securities Agent State Law Examination | 1984-07-30 |
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