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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2016-12-21 |
| TX | RA | APPROVED_RES | 2016-12-13 |
Branch Locations
263 Tresser Blvd Suite 500, Stamford, CT 06901 • United States
Armonk, NY • United States
3 disclosure categories 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 | White Plains | NY | 07/1987 | 12/2016 |
| Bank Of America,Na | White Plains | FL | 11/2009 | 12/2016 |
| Oppenheimer & Co. Inc. | Stamford | CT | 12/2016 | Present |
1. -CORPORACION 82455, S.R.L. -HOLDING COMPANY FOR CONDOMINIO FISHING LAKE, UNIT 32074 IN CAP CANA, HIGUEY, DOMINICAN REPUBLIC. -CO-OWNER OF CONDO UNIT WITH HUSBAND SINCE NOVEMBER 2006 -NO HOURS SPEND SINCE RENTAL COMPANY HANDLES RENTAL INCOME AND PAYMENT OF EXPENSE BILLS 2. OWNER OF CONDO UNIT AT VICEROY SNOWMASS - VICEROY SNOWMASS: 130 WOOD ROAD #535, SNOWMASS VILLAGE, COLORADO 81615 - RENTAL INCOME AS OF 4/25/19 - 30 MINUTES MONTHLY DURING SKI SEASON (DEC-APRIL); MINIMAL TIME DURING THE OFF SEASON 3.CO-TRUSTEE OF TRIPLE JP TRUST, A FAMILY TRUST CREATED IN JANUARY 2022 TO HOLD TWO PROPERTIES IN COLORADO: LAND AT 480 LARKSPUR DRIVE, CARBONDALE, COLORADO; CONDO UNIT 535 AT VICEROY SNOWMASS, 130 WOOD ROAD, SNOWMASS, COLORADO
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-09-26 |
| S63 | Uniform Securities Agent State Law Examination | 1987-10-05 |
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