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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-07 |
| TX | RA | APPROVED | 2017-05-17 |
| CT | RA | APPROVED | 2016-05-23 |
Branch Locations
666 3Rd Avenue, New York, NY 10017 • United States
Westport, 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 |
|---|---|---|---|---|
| Fahnestock & Co. Inc. | New York | NY | 01/2003 | Present |
WALLACE DAVIS REVOCABLE TRUST DTD 8/18/07, TRUSTEE ADDRESS: 8 HILLANDALE ROAD, WESTPORT, CT 06880 START DATE OF RELATIONSHIP: 8/18/17 I AM TRUSTEE FOR MY PERSONAL TRUST. THE TRUST OWNS ALL OF MY PERSONAL ASSETS AND INVESTMENTS, AND I MAKE ALL FINANCIAL DECISIONS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-08-19 |
| S63 | Uniform Securities Agent State Law Examination | 1986-10-07 |
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