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38 Fountain Square Plaza, Cincinnati, OH 45263 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-01-03 |
| NY | RA | APPROVED | 2023-06-20 |
| CT | RA | APPROVED | 2023-06-15 |
Branch Locations
580 White Plains Road, Tarrytown, NY 10591 • United States
Stamford, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Hunt Valley | MD | 08/2016 | 05/2017 |
| Bank Of America, N.A. | Hunt Valley | MD | 10/2016 | 05/2017 |
| Ubs Financial Services Inc. | Weehawken | NJ | 05/2017 | 05/2018 |
| Bny Mellon | White Plains | NY | 05/2018 | 06/2023 |
| Bny Mellon Securities Corporation | New York | NY | 01/2020 | 06/2023 |
| Fifth Third Wealth Advisors Llc (Crd: 313015) | Tarrytown | NY | 06/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-06-20 |
| S66 | Uniform Combined State Law Examination | 2016-11-02 |
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