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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-09-28 |
| NH | RA | APPROVED | 2019-05-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citizens Bank | North Hampton | NH | 02/2014 | 05/2017 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 06/2017 | 10/2018 |
| Northwestern Mutual Investment Services Llc | Portsmouth | NH | 06/2017 | 11/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Portsmouth | NH | 01/2019 | Present |
| Bank Of America, N.A. | Portsmouth | NH | 01/2019 | Present |
I*1539280For profit or not for profit: Entity CharitableName of outside business organization: Knights of ColumbusInvestment related: NAddress of business: Hampton, New Hampshire, 03842, United StatesNature of business: ["Church or Religious Organization"]Position, title, association: ["Officer"], Start date of relationship: 10/18/2023Number of hours devoted: 4 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , Deputy Grand Knight. Facilitate Monthly council meetings. Assist with hosting community events and fund raising events for the Knights, which is a non profit organization. Support OLMM parish in Hampton, fund raising events. My role does not involve managing the financials or deposit accounts. That's all handled by the council Treasurer and Financial Secretary. I*2653274, Entity Type: , Name of OBA: Wr A G, Address: Ruther Glen, Virginia, 22546-2975, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 07/23/2025, No Hours: 2 Yearly, No Hours during Trading: 0 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-04-30 |
| S63 | Uniform Securities Agent State Law Examination | 2017-12-22 |
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