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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-07-10
TX RA APPROVED_RES 2010-04-30
FL RA APPROVED 2006-03-23
  • CA RA
    APPROVED
    Since 2024-07-10
  • TX RA
    APPROVED_RES
    Since 2010-04-30
  • FL RA
    APPROVED
    Since 2006-03-23

Branch Locations

2049 Century Park E Division - Pacific Coast, Los Angeles, CA 90067 • United States

Beverly Hills, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Tampa FL 07/2003 Present
Other Businesses

I*393287For profit or not for profit: Entity For ProfitName of outside business organization: Palm Run LLC.Investment related: NAddress of business: Indian Shores, Florida, 33785Nature of business: ["Limited Liability Company"]Position, title, association: ["Owner"], Start date of relationship: 11/16/2018Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , On the advice of our atty, my Mom and I are putting the family beach condo (currently in joint ownership) in a LLC. I will be a member and manager. We have decided to rent the unit out for several months next year. I*2969276, Entity Type: Entity For Profit, Name of OBA: Stagg Hill Retreat, LLC, Address: Paso Robles, California, 93446, Investment Related: N, Position, Title, Association: General Partner/Managing Member, Employee State Date: 10/08/2025, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: Member/Manager of LLC, LLC to hold a raw land purchase in Paso Robles, CA. The LLC will eventually be used to develop the land, build a primary dwelling for retirement, with possible short term rental potential. OBA ID: 1653355OBA Name: Free The Cork, LLCLocation: St Pete FLInvestment Related Activity: NoStart Date: 1/10/2024Role: General Partner/Managing MemberDuties: This entity is the primary vehicle for an app build on the Openai App store (similar to apps on apple store) which will provide AI powered wine and food pairing advice. I will assist my wife with the entity as needed with mostly operational and clerical activities. My wife is designing the app and programming the app.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-03-21
S63 Uniform Securities Agent State Law Examination 1997-03-06
  • S65 Uniform Investment Adviser Law Examination
    2006-03-21
  • S63 Uniform Securities Agent State Law Examination
    1997-03-06

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