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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-09-25
FL RA APPROVED 2016-02-25
  • TX RA
    APPROVED_RES
    Since 2017-09-25
  • FL RA
    APPROVED
    Since 2016-02-25

Branch Locations

200 Central Ave, Saint Petersburg, FL 33701 • United States

101 Derby St, Hingham, MA 02043 • United States

Saint Petersburg, FL • United States

Disclosures

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.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Bank Of America, N.A. Orlando FL 01/1994 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Boston MA 10/2009 Present
Other Businesses

I*2411281, Entity Type: , Name of OBA: Tampa Bay Chamber, Address: Tampa, Florida, 33602, Investment Related: N, Position, Title, Association: Board Member, Employee State Date: 04/30/2025, No Hours: 4 Monthly, No Hours during Trading: 4 Monthly, Duties: Board of Directors position on the Tampa Bay Chamber of Commerce. The stated purpose of the chamber is to represent the interests of the businesses in the local community . There are approximately 90 Board Members that help to lend leadership expertise and help to provide support for the business community. I will not have financial or investment responsibility in the role. I*1049246 Entity Type: Entity Charitable Name of OBA: Florida Aquarium Inc, The Address: Tampa, Florida, 33602 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 11/17/2022 Number of Hours: 3, Monthly Number of Hours during trading: 3, Monthly Duties: Saving wildlife and conservation , research in addition to education and outreach to the community Have been a board member since 2022.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-02-19
S63 Uniform Securities Agent State Law Examination 1999-09-03
  • S66 Uniform Combined State Law Examination
    2016-02-19
  • S63 Uniform Securities Agent State Law Examination
    1999-09-03

View on SEC IAPD

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