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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-10-08 |
| CT | RA | APPROVED | 2009-05-07 |
Branch Locations
1414 Main St, Springfield, MA 01144 • United States
Granby, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Springfield | MA | 09/1987 | Present |
| Bank Of America, N.A. | Springfield | MA | 11/2009 | Present |
I*468590 For profit or not for profit: Entity SRO Name of outside business organization: Financial Industry Regulatory Authority Investment related: N Address of business: OBA, OBA, OBA Nature of business: ["Business or Industry Organization"] Position, title, association: ["Employee"], Start date of relationship: 3/14/2016 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 1 Duties: , Finra after completition of training to serve as an arbi
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-05-04 |
| S63 | Uniform Securities Agent State Law Examination | 1987-12-08 |
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