Lawrence Alan Barocas

Current Employers

Employment History

• 07/2009 → 04/2017
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Antonio, TX
• 04/2017 → Present
  Snowden Lane Partners
  New York, NY

Previous Registrations

• 2009-07-31 → 2017-04-27
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Antonio, TX
  San Antonio, TX
  Scarsdale, NY
  Santa Barbara, CA
• 2002-01-18 → 2009-08-17
  Ubs Financial Services Inc.
  San Antonio, TX
  San Antonio, TX

Other Businesses

I*23307 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: LOS RANCHOS AMERICANOS -ORATINO INVESTMENT RELATED: Y ADDRESS OF BUSINESS: RIO SECO, TAMARINDO, NONE NATURE OF BUSINESS: OTHER, INDIVIDUALLY OWNED POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 0001-01-01 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PARTNER II) WILTON PARTNERS LLC, 410 THELMA DRIVE, SAN ANTONIO, TX 78212 - INVESTMENT RLT'D - YES, HRS DEVOTED TO ACTIVITY - 10, HRS DURING TRADING - 0, DATE ACTIVITY BEGAN 05/15/12, POSITION - GENERAL PARTNER; INVESTMENTS IN REAL ESTATE AND BUSINESS INTERESTS. I*44945 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: INVESTMENT MANAGEMENT CONSULTANTS ASSOCIATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: 5619 DTC PARKWAY, SUITE 500 GREENWOOD VILLAGE, COLORADO 80111 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 12/5/2011 NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: WEALTH MANAGEMENT COMMITTEE MEMBER- PROVIDE CURRICULM FOR THE CPWA AND CIMA PROGRAMS IN BOTH TESTING AND CONTINUING EDUCATION. I*100534 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SOUTHTOWN STEEL , LTD. INVESTMENT RELATED: Y ADDRESS OF BUSINESS: SAN ANTONIO, TEXAS 78204 NATURE OF BUSINESS: LIMITED PARTNERSHIP, POSITION, TITLE, ASSOCIATION: GENERAL PARTNER, START DATE OF RELATIONSHIP: 12/2/2016 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: A FAMILY LIMITED LIMITED PARTNERSHIP FOR ESTATE PLANNING AND TAX PURPOSES. IT WILL HOLD SECURITIES AND REAL ESTATE. THE SECURITIES WILL BE HELD AT MERRILL LYCH IN A MANAGED ACCOUNT AND THE REAL ESTATE IS CURRENTLY DISCLOSED IN AIM. FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: Lonestar Art Alliance Trustee - Santa Reporata Art Institute Member - Ursinus , Parents Advisory Council INVESTMENT RELATED: No ADDRESS OF BUSINESS: 107 Lonestar Blvd. San Antonio, TX 78204 NATURE OF BUSINESS: Educational 501(c ) (3), POSITION, TITLE, ASSOCIATION: Trustee START DATE OF RELATIONSHIP: 9/1/2017 NUMBER OF HOURS DEVOTED: 5 - 7 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES:Oversight of programs Ursinus College; Non Investment Related; Position - Trustee; Start Date: 9/01/2020; No Compensation; Role as a trustee on the governing body of the college, responsible for oversight of the operations of college departments. Hours during trading time - 0; Hours during non-trading time - 10 hours per month. As of 6/2022, appointed as a chair on the Audit Committee at Ursinus College. Additional time spent will be another 2-3 hours per month. Interface with the CFO of the college to monitor expenses and help create a budget. SA City Soccer Club; Officer; San Antonio, TX, Non-Profit Youth Soccer club for children ages 4-19; 10 hours per month; Financial forecasting of club assets (real estate and cash accounts). Creating yearly budget. Oversight of controller and staff; no compensation. Blue Vault Advisory Board; Volunteer, no compensation; investment related; advise other FAs on alternative investments; 1 hour per month possibly during trading hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-01-09
• S63 Uniform Securities Agent State Law Examination
  1998-01-02