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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2026-01-20 |
| TX | RA | APPROVED_RES | 2015-11-12 |
| FL | RA | APPROVED | 2014-12-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Tampa | FL | 10/2014 | Present |
I*76282FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: J. F./ADVENT STRATEGIES, LLCINVESTMENT RELATED: NOADDRESS OF BUSINESS: PALMETTO BAY, FLORIDA 33157NATURE OF BUSINESS: LLCPOSITION, TITLE, ASSOCIATION: OTHER, COMPANY INACTIVE - TRAILS RECEIVED PERSONALLYSTART DATE OF RELATIONSHIP: 4/28/2009NUMBER OF HOURS DEVOTED: 0 NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: RECEIVING VESTED RESIDUAL TRAILS FROM INSURANCE SALES DONE AT ADVENT STRATEGIES, LLC. NO LONGER AGENT OF RECORD OR SERVICING CLIENTS.I*: 2188316Entity Type: For ProfitName of OBA: PackfilesAddress: Tampa, Fl 33602Investment Related: NoPosition, Title, Association: Advisory Board MemberEmployee Start Date: 2/12/2025Number of Hours: 10 hrs mthlyNumber of Hours during trading: 0 Duties: Technology company based in Tampa Bay. They want me to become their 4th advisory board member. No voting power. I*3545265 Entity Type: Entity Charitable Name of OBA: Tampa Bay Wave Address: Tampa, Florida, 33602 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 01/21/2026 Number of Hours: 4, Monthly Number of Hours during trading: 0, Monthly Duties: Business accelerator Board of Directors member
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 2005-04-15 |
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