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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2006-07-18 |
| RI | RA | APPROVED | 2006-03-08 |
Branch Locations
1 Financial Plaza, Providence, RI 02903 • United States
Warwick, RI • 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 | New York | NY | 03/2006 | Present |
| Bank Of America, N.A. | Providence | RI | 07/2011 | Present |
I*34616 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: THORP'S WINE AND SPIRITS INVESTMENT RELATED: N ADDRESS OF BUSINESS: 609 MAIN STREET, EAST GREENWICH, RHODE ISLAND 2885 NATURE OF BUSINESS: S-CORP, PASSIVE INVESTOR POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 12/15/2009 NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I AM A PASSIVE OWNER. MY WIFE RUNS THE DAY TO DAY BUSINESS I*94755 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RESIDENTIAL CONDO INVESTMENT RELATED: N ADDRESS OF BUSINESS: VERO BEACH, FLORIDA 32961 NATURE OF BUSINESS: OTHER,MY WIFE AND I ARE OWNERS POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 4/21/2016 NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MY WIFE AND I BOUGHT A CONDOMINIUM IN FLORIDA FOR OUR PERSONAL USE BUT INTEND TO RENT IT OUT ON OCCASION.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-12-13 |
| S63 | Uniform Securities Agent State Law Examination | 1987-07-29 |
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