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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-11-08 |
| FL | RA | APPROVED | 2020-05-08 |
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 |
|---|---|---|---|---|
| Jp Morgan Securities Llc | Sarasota | FL | 05/2013 | 11/2019 |
| Jp Morgan Chase Bank, N.A. | Sarasota | FL | 01/2013 | 11/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Sarasota | FL | 11/2019 | Present |
| Bank Of America N.A. | Sarasota | FL | 01/2020 | Present |
I*: 2237296Entity Type: Rental Property Name of OBA: Rental Property 2Address: Myakka City, FL 34251Investment Related: YesPosition, Title, Association: Co-owner with other family membersEmployee Start Date: 03/16/2025Number of Hours: 1 hr mthlyNumber of Hours during trading: 0Duties: Co-owner / Rental propertyI*: 2615282Entity Type: Fiduciary roleName of OBA: M. J.Address: Myakka City, FL 34251Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 07/14/2025Number of Hours: 0Number of Hours during trading: 0Duties: Power of Attorney/Spouse I*2806327 Entity Type: Charitable Name of OBA: TeamUp Address:Sarasota Florida Investment Related:No Position, Title, Association:Board Member Start Date:10/07/2025 No Hours: 1 Monthly No Hours during trading:1 Duties:responsibilities include guiding mission, strategy, and policies to ensure ethical compliance; providing financial oversight by reviewing budgets and safeguarding resources; supporting fundraising efforts and promoting TeamUP's programs in the community; championing initiatives such as Rockin' Reader and helping evaluate program impact; and engaging fully in board work by attending meetings, serving on committees, and assisting in the recruitment and development of new members.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-03-04 |
| S63 | Uniform Securities Agent State Law Examination | 1998-02-02 |
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