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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-01-08 |
| RI | RA | APPROVED | 2009-10-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | East Greenwich | RI | 10/2009 | Present |
| Bank Of America, N.A. | Providence | RI | 07/2011 | Present |
I*16427FOR-PROFIT ORGANIZATIONNAME: LANDLORDINVESTMENT RELATED: NADDRESS: CRANSTON, RHODE ISLAND 2905NATURE OF BUSINESS: SOLE PROPRIETORSHIPPOSITION, TITLE, ASSOCIATION: OWNERSTART DATE: 1/1/2010NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: PURCHASED RENTAL PROPERTY AND WILL DOING PROPERTY MANAGEMENT.I*75207FOR-PROFIT ORGANIZATIONNAME: EDGEWOOD RESTAURANT HOLDINGS, LLCINVESTMENT RELATED: NADDRESS: PROVIDENCE, RHODE ISLAND 2905NATURE OF BUSINESS: LLCPOSITION, TITLE, ASSOCIATION: OWNERSTART DATE: 9/9/2014NUMBER OF HOURS DEVOTED: 0 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: OWNERI*95686FOR-PROFIT ORGANIZATIONNAME: JOHN LANEINVESTMENT RELATED: NADDRESS: CRANSTON, RHODE ISLAND 2905NATURE OF BUSINESS: SOLE PROPRIETORSHIP,LANDLORDPOSITION, TITLE, ASSOCIATION: OTHER, LANDLORDSTART DATE: 7/1/2011NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: LANDLORDI*95687FOR-PROFIT ORGANIZATIONNAME: JOHN LANEINVESTMENT RELATED: NADDRESS: CRANSTON, RHODE ISLAND 2905NATURE OF BUSINESS: SOLE PROPRIETORSHIPPOSITION, TITLE, ASSOCIATION: OWNERSTART DATE: 5/1/2015NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: LANDLORDI*95688FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS: JOHN LANEINVESTMENT RELATED: NADDRESS: CRANSTON, RHODE ISLAND 2905NATURE OF BUSINESS: SOLE PROPRIETORSHIP,LANDLORDPOSITION: OWNERSTART DATE: 9/25/2003NUMBER OF HOURS : 1 HOUR(S) MONTHLYNUMBER OF HOURS DURING TRADING HOURS: 0DUTIES: LANDLORDI*95689FOR-PROFIT ORGANIZATIONNAME: JOHN LANEINVESTMENT RELATED: NADDRESS: CRANSTON, RHODE ISLAND 2905NATURE OF BUSINESS: OTHER,LANDLORDPOSITION: OTHER, LANDLORDSTART DATE: 7/20/2011NUMBER OF HOURS : 1 HOUR(S) MONTHLYNUMBER OF HOURS DURING TRADING HOURS: 0DUTIES: LANDLORDI*95690For-Profit OrganizationName: John LaneInvestment related: NAddress: Cranston, Rhode Island 2905Nature of business: Other, landlordPosition: OwnerStart date: 5/17/2017Number of hours : 0 hour(s) AnnuallyNumber of hours during trading hours: 0Duties: landlordI*100210For-Profit OrganizationName: Empire Restaurant Holdings, LLCInvestment related: NAddress: Providence, Rhode Island 2903Nature of business: LLCPosition: OwnerStart date: 12/31/2016Number of hours : 10 hour(s) AnnuallyNumber of hours during trading hours: 0Duties: Restaurant ownerI*123731For-Profit OrganizationName: La Casa, LLCInvestment related: NAddress: Cranston, Rhode Island 2920Nature of business: LLCPosition: LPStart date: 5/31/2019Number of hours: 1 hour(s) MonthlyNumber of hours during trading hours: 0Duties: Restaurant/ OwnerI*766274Entity For ProfitName: East Side Restaurant Holdings, LLCInvestment related: NAddress of business: Providence, Rhode Island, 02903Nature of business: LLCI*1451257Name: Rental Property 2Address: Warwick, RI 02888Position: OwnerStart Date: 8/25/2023No Hours: 5 hour(s) YearlyDuring trading hours: 0I*1451258Entity For ProfitName: Lakewood Restaurant Holdings, LLCInvestment related: NAddress: Warwick, Rhode Island, 02888Nature of business: LLCPosition, title, association: OwnerStart date: 11/1/2023Number of hours devoted: 5 hour(s) YearlyNumber of hours devoted during trading hours: 0Duties: PartnerI*1777294Entity Type: For Profit LLCName of OBA: EG Restaurant Holdings, LLCAddress: East Greenwich, Rhode Island, 02818Investment Related: YesPosition, Title, Association: PartnerState Date: 11/09/2023No Hours: 1 monthlyNo Hours during trading: 0Duties: Review business performance as an LLC partner I*3139276 Entity Type: Entity For Profit Name of OBA: Gardent Restaurant Holdings, LLC Address: Boston, Massachusetts, 2118 Investment Related: No Position, Title, Association: Owner Employee Start Date: 11/15/2025 Number of Hours: 1, Monthly Number of Hours during trading: 0, Monthly Duties: Restaurant LLC Member
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-01-26 |
| S63 | Uniform Securities Agent State Law Examination | 2001-06-11 |
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