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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 |
| TX | RA | APPROVED_RES | 2015-08-27 |
Branch Locations
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 | Batavia | NY | 02/2008 | Present |
| Bank Of America, N.A. | Batavia | NY | 06/2011 | Present |
I*43231FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: ROUNDTABLE ATHLETIC ASSOC. ADVISORY BOARD TO THE GINVESTMENT RELATED: NADDRESS OF BUSINESS:GENESEO, NEW YORK 14454NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 7/13/2011NUMBER OF HOURS DEVOTED: 4 HOUR(S) QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: MAKE RECOMMENDATIONS ON FUNDING VARIOUS ATHLETIC PROGRAMS AT SUNY GENESEO TO THE FOUNDATION BOARD I*54905For profit or not for profit: Non-Profit OrganizationName of outside business organization: Eagle Star Housing, Inc.Investment related: NAddress of business:East Pembroke, New York 14056Nature of business: Charitable Organization,Position, title, association: Officer, Start date of relationship: 5/11/2012Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 1Duties: Non profit that provides housing for veterans. Board President I*2722261, Entity Type: , Name of OBA: A G, Address: Hilton, New York, 14468, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 08/11/2025, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: I*2747261, Entity Type: , Name of OBA: J T G, Address: Hilton, New York, 14468, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 08/16/2025, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: I*2747262, Entity Type: , Name of OBA: A J G, Address: Hilton, New York, 14469, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 08/16/2025, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: I*2747263, Entity Type: , Name of OBA: A J G AND J T G, Address: Hilton, New York, 14468, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 08/16/2025, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-06-25 |
| S63 | Uniform Securities Agent State Law Examination | 1987-10-14 |
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