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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2007-07-30 |
| CT | RA | APPROVED | 1992-05-15 |
Branch Locations
301 Tresser Blvd, Stamford, CT 06901 • United States
Ridgefield, CT • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Stamford | CT | 09/1983 | Present |
| Merrill Lynch, Pierce, Fenner & Smith In | Stamford | CT | 09/1985 | Present |
| Bank Of America, Na | Stamford | CT | 09/2009 | Present |
I*125268 For profit or not for profit: Non-Profit Organization Name of outside business organization: Silver Spring Country Club Investment related: No Address of business: Ridgefield, Connecticut 06877 Nature of business: Charitable Organization Position, title, association: Committee Member Start date of relationship: 7/31/2019 Number of hours devoted: 20 hours Monthly Number of hours devoted during trading hours: 0 Duties: Golf Committee I*11398 Entity Type: Fiduciary Role Name of outside business organization: Irrevocable Trust Investment related: No Address of business: Warren, Vermont 05674 Position, title, association: Start date of relationship: 12/24/2016 Number of hours devoted: 10 hours Annually Number of hours devoted during trading hours: 5 I*2175395 Entity Type not for profit Name of OBA: Ridgefield Boys and Girls Club Address: Ridgefield CT 06877 Investment Related: No Position, Title, Association: Committee Member Employee Start Date: 12/31/04 No Hours: 3 yearly No Hours during trading: 0 Duties: I'm on their Golf Tournament Committee.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-01-12 |
| S63 | Uniform Securities Agent State Law Examination | 1985-12-31 |
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