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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-10-07 |
| TX | RA | APPROVED | 2024-10-04 |
Branch Locations
1801 North Military Trail Suite 300, Boca Raton, FL 33431 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rmb Capital Management, Llc | Washington | DC | 05/2016 | 04/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Boca Raton | FL | 04/2019 | 10/2024 |
| Bank Of America, N.A. | Boca Raton | FL | 08/2019 | 10/2024 |
| Morgan Stanley Smith Barney Llc | Boca Raton | FL | 10/2024 | Present |
*616305 - HAPPY HUMAN SOCIETY LLC; Investment Related - Yes; Delray Beach, Florida; Art/Culture; Officer (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 08/2020; During Business Hours: 0; After Business Hours: 0; Consulting.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2019-10-28 |
| S65 | Uniform Investment Adviser Law Examination | 2017-07-29 |
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