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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2022-08-01 |
| TX | RA | APPROVED_RES | 2019-05-20 |
| NC | RA | APPROVED | 2019-05-14 |
Branch Locations
824 A1A N, Ponte Vedra Beach, FL 32082 • United States
115 Tom Hall St, Fort Mill, SC 29715 • United States
13510 Ballantyne Corporate Pl, Charlotte, NC 28277 • United States
Charlotte, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Deutsche Bank Securities Inc. | New York | NY | 01/2001 | 09/2016 |
| Raymond James & Associates, Inc. | Baltimore | MD | 09/2016 | 10/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 04/2019 | Present |
| Unemployed | Unemployed | NC | 11/2018 | 04/2019 |
| Bank Of America, N.A. | Charlotte | NC | 05/2019 | Present |
I*122585 For profit or not for profit: Non-Profit Organization Name of outside business organization: Life and Breath Foundation Investment related: N Address of business: Ellicott City, Maryland 21042 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 1/1/2014 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Fundraising efforts with the ultimate goal of funding research and awareness of the disease sarcoidosis.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-07-09 |
| S63 | Uniform Securities Agent State Law Examination | 1998-06-04 |
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