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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2011-01-18 |
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 | Sarasota | FL | 01/2011 | Present |
| Bank Of America, N.A. | Sarasota | FL | 02/2011 | Present |
I*1009244For profit or not for profit: Name of outside business organization: Soleil Hats/MEM Consulting Group LLCInvestment related: NAddress of business: , , Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , My husband is starting a hat company and I will help him with shipping and random small jobs. I*1815293 Entity For Profit Name of OBA: Little Pine Ranch Address: Bronson, Florida, 32621 Investment Related: No Position, Title, Association: Other Employee Start Date: 01/06/2004 No Hours: 0 No Hours during trading: 0 Duties: no responsibilies
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-07-10 |
| S63 | Uniform Securities Agent State Law Examination | 1988-03-25 |
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