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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-02-06 |
| CT | RA | APPROVED | 2019-11-04 |
| TX | RA | APPROVED_RES | 2019-11-01 |
Branch Locations
465 Heritage Road, Southbury, CT 06488 • United States
3835 Pga Blvd. Suite 701, Palm Beach Gardens, FL 33410 • 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 (7691) | Southbury | CT | 10/2009 | 10/2019 |
| Bank Of America, Na | Southbury | CT | 12/2009 | 10/2019 |
| Stifel Nicolaus & Co Inc | Southbury | CT | 11/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-08-08 |
| S63 | Uniform Securities Agent State Law Examination | 1990-03-30 |
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