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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-03-18 |
| NJ | RA | APPROVED | 2021-02-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pruco Securities, Llc | White Plains | NY | 12/2016 | 11/2019 |
| Wells Fargo | Hartsdale | NY | 11/2013 | 10/2016 |
| The Prudential Insurance Company Of America | White Plains | NY | 06/2017 | 11/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New Brunswick | NJ | 11/2019 | Present |
| Bank Of America, N.A. | New Brunswick | NJ | 11/2019 | Present |
I*137214 For profit or not for profit: For-Profit Organization Name of outside business organization: NJ Play Sports Community Investment related: No Address of business: Pequannock, New Jersey 07440 Nature of business: LLC Position, title, association: Part-Time employee Start date of relationship: 4/18/2021 Number of hours devoted: 24 hours Monthly Number of hours devoted during trading hours: 0 Duties: NJ Play Sports Community is a sports community that has different types of leagues throughout New Jersey. I was asked to help with the softball league. Activities including umpiring, stat taking and attendance taking. I*: 2575293 Entity Type: For Profit Name of OBA: Caro Group Enterprises LLC Address: Elizabeth, NJ 07206 Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 07/01/2025 Number of Hours: 3 hrs wkly Number of Hours during trading: 0 Duties: Air B and B rentals, Rental Income. As the only Member of the LLC, My job is to purchase property under the LLC and collect rent payments.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-02-12 |
| S63 | Uniform Securities Agent State Law Examination | 2017-05-24 |
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