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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-01-17
FL RA APPROVED 2006-06-07
  • TX RA
    APPROVED_RES
    Since 2013-01-17
  • FL RA
    APPROVED
    Since 2006-06-07

Branch Locations

200 S Biscayne Blvd, Miami, FL 33131 • United States

8840 Sw 136Th St, Miami, FL 33176 • United States

Plantation, 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Atlanta GA 10/1998 Present
Other Businesses

I*370468For profit or not for profit: Entity For ProfitName of outside business organization: SimBern, LLCInvestment related: NAddress of business: Plantation, Florida, 33322Nature of business: ["Limited Liability Company"]Position, title, association: ["General Partner/Managing Member","Owner"], Start date of relationship: 10/5/2012Number of hours devoted: 30 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , Entity is an LLC, where my wife and I are Managing Members. This is an entity established for my wife's internet t-shirt, clothing resale, resale and jewelry sales business. Responsibilities will include web site development and maintenance, t-shirt production and shipping I*416557 Entity Type: Entity For Profit Name of OBA: Automotive Unlimited Technology of Transportation Address: Boca Raton, Florida, 33431 Investment Related: No Position, Title, Association: Officer Employee Start Date: 07/06/2015 Number of Hours: 5, Yearly Number of Hours during trading: 0, Yearly Duties: Car transportation business. Primarily transporting race cars around the country to various racing events. Also transporting of heavy equipment/bulk items. No responsibility

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-05-08
  • S63 Uniform Securities Agent State Law Examination
    1998-05-08

View on SEC IAPD

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