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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-19 |
| FL | RA | APPROVED | 2020-11-25 |
| TX | RA | APPROVED | 2019-08-22 |
| CT | RA | APPROVED | 2019-08-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Prudentia Advisors Llc | New York | NY | 01/2014 | 10/2016 |
| Tn Capital Advisors Llc | Stamford | CT | 10/2016 | Present |
| Stone Key Securities Llc | Greenwich | CT | 06/2017 | 12/2017 |
| Dynasty Securities, Llc | New York | NY | 03/2017 | 04/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Stamford | CT | 07/2019 | Present |
| Bank Of America, N.A. | Stamford | CT | 08/2019 | Present |
I*1393260For profit or not for profit: Name of outside business organization: Condominium Assoc, Investment related: Y, Address of business: Stuart, Florida, 34996Nature of business: ["HOA, Co-op, Freehold"]Position, title, association: Committee, Finance committee Start date of relationship: 7/24/2023Number of hours devoted: 12 hours Monthly, Number of hours devoted during trading hours: 0.5 Duties: The entity oversees the condominium's management for the benefit of the condo owners. I*2026345, Entity Type, Entity Charitable, Name of OBA: Sailfish Point, Address: Stuart, FL, 34996, Investment Related: No, Position, Title, Association: Committee, Employee Start Date: 10/23/2024, No Hours: 12hrs/Mo, No Hours during trading: 0, Duties: I would be one of about 10 members of the Strategic Planning Committee of the POA reporting suggestions to the board regarding facilities. I*: 2100309 Entity Type: Charitable Name of OBA: The C. and P. Bringsjord Foundation, Inc. Address: Briarcliff Manor, NY 10510 Investment Related: No Position, Title, Association: Other Employee Start Date: 06-Feb-2001 Number of Hours: 0 Number of Hours during trading: 0 Duties: The entity was formed but has never been used
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-08-19 |
| S63 | Uniform Securities Agent State Law Examination | 2017-07-26 |
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