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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2026-04-20 |
| LA | RA | APPROVED | 2024-08-21 |
| TX | RA | APPROVED_RES | 2011-05-09 |
| FL | RA | APPROVED | 2011-05-04 |
Branch Locations
1819 Main St, Sarasota, FL 34236 • United States
401 Edwards St, Shreveport, LA 71101 • 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 | Sarasota | FL | 04/2011 | Present |
| Bank Of America, N.A. | Sarasota | FL | 07/2011 | Present |
ISLAND SCHOOL, BOCA GRANDE, FL.; CHARTER SCHOOL BOARD POSITION; BOARD MEMBER WITH 6 MEETINGS PER YEAR; 1/2 HOUR PER MONTH WILL BE SPENT ON THIS ACTIVITY AND POSSIBLY SOME OF THIS TIME WILL BE DURING NORMAL WORKING HOURS*** FRIENDS OF THE BOCA GRANDE COMMUNITY CENTER; WORKING WITH LOCAL COUNTY GOVERNMENT TO OVERSEE AND ADMINISTER; DIRECTOR***BOCA GRANDE FIRST COMMUNITY LIBRARY BOARD OF DIRECTORS I*745279 For profit or not for profit: Name of outside business organization: Frances Carlton Condominium Association Board of Directors Investment related: N Address of business: Sarasota, Florida, 34236 Nature of business: ["HOA, Co-op, Freehold"] Position, title, association: ["Board Member"], Start date of relationship: 3/1/2022 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , This is the board of directors that oversees the building in which I own a condominium
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-09-13 |
| S63 | Uniform Securities Agent State Law Examination | 1988-04-25 |
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