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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2020-09-04 |
| TX | RA | APPROVED | 2020-09-03 |
Branch Locations
5355 Town Center Road Suite 800, Boca Raton, FL 33486 • United States
3801 Pga Blvd Suite 801, Palm Beach Gardens, FL 33410-2757 • United States
Palm Beach Gardens, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated (7691) | Little Rock | AR | 08/2010 | 09/2020 |
| Bank Of America,Na | Boca Raton | FL | 11/2010 | 09/2020 |
| Rbc Capital Markets, Llc | Boca Raton | FL | 09/2020 | Present |
| City National Bank | Boca Raton | FL | 10/2020 | Present |
I*37313 For profit or not for profit: For-Profit Organization Name of outside business organization: Restor Technologies Investment related: N Address of business: Huntington, New York 11746 Nature of business: Family Business, Position, title, association: Consultant, Start date of relationship: 1/1/1997 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: spend minimal time after work hours consulting and working with the marketing (2) FAU COLLEGE OF MEDICINE - BOARD MEMBER, 777 GLADES RD, BC 71, BOCA RATON, FL 33431 - INVESTMENT RLT'D - NO, HRS DEVOTED TO ACTIVITY - 1, HRS DURING TRADING - 0, DATE ACTIVITY BEGAN 05/08/12, POSITION - ADVISORY BOARD MEMBER; FLORDIA ATLANTIC UNIVERSITY - BOARD OF MEDICINE ADVISORY BOARD. (3) NAME OF ENTITY: Florida Atlantic University - Charles E. Schmidt College of Medicine; ADDRESS: 777 Glades Road Boca Raton, FL 33431; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: College of Medicine - Advisory Board; CAPACITY: Advisory Board Member; START DATE: 05/20/10; DUTIES: I am a board member on the board and we meet a few times a year to share ideas within the university & the community; HOURS DEVOTED PER MONTH: 01; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 01; (4) NAME OF ENTITY: SATURN II HOLDINGS LLC ADDRESS: 308 VIZCAYA DRIVE, PALM BEACH GARDENS, FL 33418 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: INVESTMENT VEHICLE FOR REAL ESTATE DEVELOPMENT CAPACITY: Owner - Passive START DATE: 9/23/2020 DUTIES: None HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (5) NAME OF ENTITY: The Benjamin School ADDRESS: 11000 Ellison Wilson Road North Palm Beach, FL 33408 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Nomination for Board of Trustees CAPACITY: Other- Board of Trustees, which is a group that is established to define and implement the strategic direction of The Benjamin School. Of which there are 20 trustees. No compensation is received. START DATE: 07/07/2023 DUTIES: Define and implement the strategic direction of The Benjamin School. Some tasks include monitoring admission rates and networking with current and new families. Overseeing strategic initiatives to strengthen the school i.e. new programs, infrastructure & benefit packages for the school. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (6) NAME OF ENTITY: GKW Golf, LLC ADDRESS: 13646 Artisan Circle Suite 801, Palm Beach Gardens, Florida 33418 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: Dec 10, 2025 CAPACITY: Owner DUTIES: Co-owner of LLC with intent of purchasing investment property. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours (7) NAME OF ENTITY: GKW Golf, LLC ADDRESS: 13646 Artisan Circle, Palm Beach Gardens, Florida 33418 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: Dec 10, 2025 CAPACITY: Owner DUTIES: Co-owner of LLC with intent of purchasing investment property. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-07-14 |
| S66 | Uniform Combined State Law Examination | 2001-01-12 |
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