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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-05-01 |
| TX | RA | APPROVED_RES | 1996-05-16 |
Branch Locations
2 Court St, Binghamton, NY 13901 • United States
Endicott, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Binghamton | NY | 09/1984 | Present |
| Bank Of America, N.A. | Binghamton | NY | 07/2011 | Present |
I*122437 For profit or not for profit: Non-Profit Organization Name of outside business organization: Lourdes Hospital Foundation Investment related: N Address of business: Binghamton, New York 13905 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 4/12/2019 Number of hours devoted: 1 hour(s) Quarterly Number of hours devoted during trading hours: 1 Duties: Board member- vote on capital improvement projects for the hospital. Fundraising I*123091 For profit or not for profit: Non-Profit Organization Name of outside business organization: Catholic Docese of Syracuse Investment related: N Address of business: Syracuse, New Mexico 13202 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 5/8/2019 Number of hours devoted: 1 hour(s) Quarterly Number of hours devoted during trading hours: 1 Duties: as a group we are a sounding board for the CFO of the diocese. I*132763 For profit or not for profit: Non-Profit Organization Name of outside business organization: Lourdes Hospital Foundation Investment related: N Address of business: Binghamton, New York 13901 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 8/25/2020 Number of hours devoted: 1 hour(s) Quarterly Number of hours devoted during trading hours: 1 Duties: collective committee that oversees fundraising goals/objectives along with grant payments and commitments. The committee also oversees the foundations investment policy, spending policy, along with performance of foundation investment assets.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1985-03-15 |
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