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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2022-08-09
TX RA APPROVED_RES 2006-07-18
FL RA APPROVED 2006-03-20
  • CO RA
    APPROVED
    Since 2022-08-09
  • TX RA
    APPROVED_RES
    Since 2006-07-18
  • FL RA
    APPROVED
    Since 2006-03-20

Branch Locations

601 Cleveland St, Clearwater, FL 33755 • United States

Snowmass Village, CO • United States

Clearwater, FL • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Tampa FL 03/2006 Present
Bank Of America, N.A. Tampa FL 12/2009 Present
Previous Registrations
Other Businesses

I*400053 FOR-PROFIT NAME: H&S WEBER INVESTMENTS, LLC INVESTMENT RELATED: N ADDRESS: Clearwater, FL 33601 POSITION: OWNER, START DATE OF RELATIONSHIP: 4/15/15 HRS DEVOTED: 1 HOUR ANNUALLY HRS DEVOTED DURING TRADING HOURS: 0 DUTIES: Holding company owns 1.1% of Rolling Suds Holdings, LLC I*456357 For-Profit Name: H&S Weber Real Estate LLC Investment related: N Address of business: Placida, Florida 33946 Nature: LLC Position: Owner, Start date: 12/19/16 Hrs devoted: 0 hour Annually Hrs devoted during trading hours: 0 Duties: This is a shell entity. It currently has no activity whatsoever. It was formed to hold ownership of our weekend vacation home in the event we choose to transfer that ownership into an entity .We have not yet done so. We may or may not rent it. As of February, 2024 still not renting. I*125188 For profit Name of outside business organization: Tampa Franchise Brands 6 Investment related: N Address of business: Tampa, Fl 33609 Nature of business: LLC, Position, title, association: Family Held, Start date of relationship: 7/25/2019 Hrs devoted: 0 hour(s) Annually Hrs devoted during trading hours: 0 Duties: TFB 6 will own (but will be dated effective as of 7-25-19) my and my husband's ownership in Southeast Hawk Investors LLC. Southeast Hawk Investors LLC owns an interest in Hawk Acquisitions LLC, which owns an interest in Hawk Parent LLC (Hooters) I*385336 profit or not profit: Entity For Profit Name of outside business organization: Tampa Franchise Brands 5 Investment related: N Address of business: Clearwater, Florida 33767 Nature of business: Limited Liability Company Position, title, association: Other, Treasurer Start date of relationship: 6/30/21 Hrs devoted: 0 hour(s) Yearly Hrs devoted during trading hours: 0 Duties: Family Held, Holding Company; which owns 50% of Moon Mountain USA, LLC which owns MM Vapor Cafe Winter Haven, LLC which owns and operates a Moon Mountain Vapor Cafounge in Winter Haven, FL. I*422996 Entity For Profit Name of outside business organization: Tarpon Tails LLC Investment related: N Address of business: Clearwater, Fl, 33757 Nature of business: LLC Position, title, association: Other Start date of relationship: 5/11/22 Hrs devoted: 0 hour(s) Yearly Hrs devoted during trading hours: 0 Duties: Indirect owner of Fresh Tracks LLC through my ownership of Tarpon Tails LLC. My husband and I are co-tenants in the entirety owners of Tarpon Tails LLC., This entity will hold the future ownership of franchise related businesses. It is not yet active.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-07-09
S63 Uniform Securities Agent State Law Examination 1997-10-14
  • S65 Uniform Investment Adviser Law Examination
    1999-07-09
  • S63 Uniform Securities Agent State Law Examination
    1997-10-14
Other Names
  • Adrienne Weber
  • Heather Adrienne Weber
  • Heather Peterson

View on SEC IAPD

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