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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2021-03-20 |
Branch Locations
1 Landmark Square 12Th Floor, Stamford, CT 06901-2502 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Greenwich | CT | 07/2017 | Present |
| Town Of Darien | Darien | CT | 10/2016 | 07/2017 |
| Unemployed | Stamford | CT | 06/2016 | 10/2016 |
| Rbc Capital Markets, Llc | Stamford | CT | 08/2018 | Present |
1) NAME OF ENTITY: Mary Kay Inc. ADDRESS: 16251 Dallas Parkway, Addison, TX 75001 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: 08.08.24 CAPACITY: Independent Consultant DUTIES: Cosmetic Sales HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 2) NAME OF ENTITY: Glen Royal Condo Association ADDRESS: 77 Glenbrook Rd Stamford Connecticut 06902 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Other START DATE: Feb 01, 2026 CAPACITY: Other DUTIES: along with other members of the condo board oversee financial management, property maintenance, rule enforcement, and community governance. They manage budgets, oversee repairs and upkeep of common areas, and enforce the condos bylaws and rules to ensure a well-functioning community. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-03-19 |
| S63 | Uniform Securities Agent State Law Examination | 2020-09-01 |
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