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183 Sully'S Trail, Pittsford, NY 14534 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-03-03 |
| NY | RA | APPROVED | 2025-02-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Franklin Templeton Financial Services Corp | San Mateo | CA | 08/2016 | 03/2019 |
| Ft Institutional Llc | Stamford | CT | 08/2016 | 03/2019 |
| Unemployed | Buffalo | NY | 02/2016 | 08/2016 |
| Karpus Investment Management | Pittsford | NY | 12/2024 | Present |
| M&T Securities | Buffalo | NY | 04/2019 | 11/2024 |
| M&T Bank | Buffalo | NY | 03/2019 | 11/2024 |
Thomas Waters serves as the Foundation Board Chair for Community Services for Every1, a nonprofit organization located at 180 Oak St, Buffalo, NY 14203. The activity is not investment related. The position began on 01/01/2020. Thomas spends approximately 1 hour per month on activities related to the Foundation. As such, they are not conducted during Karpus Investment Management business hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-02-25 |
| S66 | Uniform Combined State Law Examination | 2014-12-22 |
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