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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2022-08-31 |
| TX | RA | APPROVED | 2022-08-30 |
Branch Locations
360 Garfield Ave, Winter Park, FL 32789 • United States
Winter Park, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Winter Park | FL | 07/2009 | 08/2022 |
| Bank Of America, Na | Winter Park | FL | 12/2009 | 08/2022 |
| Rbc Capital Markets, Llc | Winter Park | FL | 08/2022 | Present |
| City National Bank | Winter Park | FL | 10/2022 | Present |
(1) NAME OF ENTITY: The Howard Phillips Center for Children & Families ADDRESS: 601 W Michigan St. Orlando, FL 32805 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: The mission of the HPC is to advocate for and respond to the needs of children in Central Florida. CAPACITY: Committee/Council Member (not associated with the Board of Directors) START DATE: 03/01/2016 DUTIES: I am a member of the Community Leadership Council. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1 (2) NAME OF ENTITY: Winter Park First Responder Foundation ADDRESS: 189 S. Orange Ave. Suite 970 Orlando FL 32801 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: Jul 15, 2026 CAPACITY: Board of Directors DUTIES: Board Member. As a board member, the responsibilities would include: approving grants (unanimous board consent required), being a community advocate to bring awareness about the organization and strategic planning. The Winter Park First Responders Foundation is a 501(c)(3) nonprofit organization headquartered in the Orlando/Winter Park area of Florida that focuses on supporting and advocating for local police officers, firefighters, and their families. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-05-21 |
| S63 | Uniform Securities Agent State Law Examination | 1998-05-04 |
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