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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-07-19 |
| FL | RA | APPROVED | 2012-07-17 |
Branch Locations
401 E Las Olas Blvd, Fort Lauderdale, FL 33301 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Ft Lauderdale | FL | 07/2012 | Present |
| Bank Of America, N.A. | Fort Lauderdale | FL | 07/2012 | Present |
(1)INVESTMENT MANAGEMENT CONSULTANTS ASSOCIATION, IMCA; 5 GREENWOOD VILLAGE, CO; YES INVESTMENT RELATED; EDUCATIONAL; VOLUNTEER; 1HOUR; YES TAX EXEMPT; DELIVER THE PREMIER INVESTMENT CONSULTING AND WEALTH MANAGEMENT CREDENTIALS AND WORLD-CLASS EDUCATIONAL OFFERINGS-MEMBERSHIP, CONFERENCES, RESEARCH, AND PUBLICATIONS; 06/2012(2)1.FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT2.NAME OF OUTSIDE BUSINESS ORGANIZATION: NOVA SOUTHEASTERN UNIVERSITY3.INVESTMENT RELATED: (YES OR NO) NO4.ADDRESS OF BUSINESS: FLORIDA 333145.NATURE OF BUSINESS: OTHER6.YOUR POSITION, TITLE, ASSOCIATION: INSTRUCTOR7.START DATE OF RELATIONSHIP:07/03/20068.NUMBER OF HOURS DEVOTED PER MONTH: 30 QUARTERLY9.NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 010.YOUR DUTIES: TEACH AS AN ADJUNCT PROFESSOR - CORPORATE FINANCE AND INTERNATIONAL FINANCE COURSES. I*111361For profit or not for profit: Non-Profit OrganizationName of outside business organization: Lynn UniversityInvestment related: NAddress of business:Boca Raton, Florida 33431Nature of business: Charitable Organization,Position, title, association: Part-Time, Start date of relationship: 3/11/2018Number of hours devoted: 10 hour(s) QuarterlyNumber of hours devoted during trading hours: 0Duties: Adjunct finance professor , teach corporate and international financeI*: 1684319Entity Type: Name of OBA: 575 South Condominium Association, Home Owners AssociationAddress: King of Prussia, PAInvestment Related: NoPosition, Title, Association: Committee MemberEmployee Start Date:003/2024Number of Hours: 1 monthlyNumber of Hours during trading: 0Duties: Ad-hoc advisory to the operating committee whose focus will be on cost savings for the HOA, this is not a board position, for non- investment /financial planning
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-10-14 |
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