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1717 Arch Street, Philadelphia, PA 19103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2016-10-06 |
| TX | RA | APPROVED | 2016-10-06 |
Branch Locations
60 Willow Street Suite 101, Mystic, CT 06355 • United States
800 Post Road 2Nd Floor, Darien, CT 06820 • 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 | Mystic | CT | 09/2008 | 10/2016 |
| Bank Of America, N.A. | Mystic | CT | 09/2011 | 10/2016 |
| Janney Montgomery Scott Llc | Mystic | CT | 10/2016 | Present |
1. Rotary Club of Mystic, Mystic, CT. Member (06/1996) - help with meeting planning. Not investment related, not compensated, 8 hour/month. 2. St Edmunds Retreat, Mystic, CT. Board Member - coordinate meetings. Not compensated, not investment related, 15 hour/month.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-31 |
| S63 | Uniform Securities Agent State Law Examination | 1987-04-09 |
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