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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-10-03 |
| CT | RA | APPROVED | 2021-10-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Old Greenwich | CT | 12/2014 | 09/2021 |
| Wells Fargo Clearing Services, Llc | Old Greenwich | CT | 06/2017 | 09/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Greenwich | CT | 09/2021 | Present |
I*525256, Entity Type: , Name of OBA: Rental Property 1, Address: Bengaluru, Karnataka, 560048, Investment Related: N, Position, Title, Association: Co-owner with other family members, Employee State Date: 05/01/2013, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-10-03 |
| S63 | Uniform Securities Agent State Law Examination | 2017-09-08 |
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