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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2024-11-01 |
| NV | RA | APPROVED | 2024-11-01 |
| TX | RA | APPROVED_RES | 2011-06-24 |
| FL | RA | APPROVED | 2011-06-01 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Aventura | FL | 02/2011 | Present |
| Bank Of America, N.A. | Alpharetta | GA | 05/2011 | Present |
I*3812265 Entity Type: N/A Name of OBA: APTH Condominium Association Address: Aventura, Florida, 33160 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 02/20/2026 Number of Hours: 2, Weekly Number of Hours during trading: 0, Weekly Duties: Condominium HOA board of directors in my own residential community board member, director, NO financial input, Not on banks
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-05-27 |
| S63 | Uniform Securities Agent State Law Examination | 1997-07-31 |
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