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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-06-04 |
| CT | RA | APPROVED | 2009-10-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Worcester | MA | 10/2009 | Present |
| Bank Of America, N.A. | Worcester | MA | 05/2011 | Present |
1.FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION 2.NAME OF OUTSIDE BUSINESS ORGANIZATION: JEREMIAH'S INN 3.INVESTMENT RELATED: N 4.ADDRESS OF BUSINESS: WORCESTER, MASSACHUSETTS 1603 5.NATURE OF BUSINESS: CHARITABLE ORGANIZATION, 7.POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, 8.START DATE OF RELATIONSHIP: 5/9/2007 9.NUMBER OF HOURS DEVOTED: 4 HOUR(S) QUARTERLY 10.NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 11.DUTIES: I AM ONE OF THE BOARD MEMBERS. I ATTEND BOARD MEETINGS WHERE WE MAKE DECISIONS REGARDING THE OPERATIONS OF THE ORGANIZATION, I.E., FINANCIAL MATTERS, POLICIES AND FUND RAISING. I AM NOT THE DIRECTOR OF THE BOARD.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-12-14 |
| S63 | Uniform Securities Agent State Law Examination | 1988-02-11 |
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