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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 2008-07-28
FL RA APPROVED 2007-05-14
  • TX RA
    APPROVED_RES
    Since 2008-07-28
  • FL RA
    APPROVED
    Since 2007-05-14

Branch Locations

1819 Main St, Sarasota, FL 34236 • United States

Sarasota, 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 Sarasota FL 05/2007 Present
Bank Of America, N.A. Sarasota FL 05/2011 Present
  • 05/2007 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Sarasota, FL
  • 05/2011 → Present
    Bank Of America, N.A.
    Sarasota, FL
Previous Registrations
  • 2007-04-02 → 2007-05-15
    Morgan Stanley & Co. Llc
    Sarasota, FL
  • 2002-01-09 → 2007-04-02
    Morgan Stanley Dw Inc.
    Sarasota, FL
    Sarasota, FL
Other Businesses

I*6260For profit or not for profit: Name of outside business organization: T StreetInvestment related: Address of business:Sarasota, Florida 34237Nature of business: ,Position, title, association: , Start date of relationship: 7/3/2017Number of hours devoted: 0 hour(s) Number of hours devoted during trading hours: 0Duties: I*6393FOR PROFIT OR NOT FOR PROFIT: NAME OF OUTSIDE BUSINESS ORGANIZATION: Rental propertyINVESTMENT RELATED: ADDRESS OF BUSINESS:BRADENTON, FLORIDA 34207NATURE OF BUSINESS: ,POSITION, TITLE, ASSOCIATION: , START DATE OF RELATIONSHIP: 6/4/2018NUMBER OF HOURS DEVOTED: 0 HOUR(S) NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: I*8295For profit or not for profit: Name of outside business organization: rental propertyInvestment related: Address of business:Sarasota, Florida 34231Nature of business: ,Position, title, association: , Start date of relationship: 6/20/2019Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0Duties: I*1527287For profit or not for profit: Name of outside business organization: Rental Property 1Investment related: NAddress of business: Sarasota, Florida, 34233, United StatesNature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 11/1/2023Number of hours devoted: 1 hour(s) YearlyNumber of hours devoted during trading hours: 0Duties: I*: 2047280Entity Type: Rental Property Name of OBA: Rental Property 2Address: Boone, North CarolinaInvestment Related: NoPosition, Title, Association: Co-owner with other family membersEmployee Start Date: 10/2024Number of Hours: 2 hrs annuallyNumber of Hours during trading: 0 Duties: I*2930268, Entity Type: , Name of OBA: Rental Property 3, Address: Sarasota, Florida, 34238, Investment Related: N, Position, Title, Association: Co-owner with other family members, Employee State Date: 01/01/2026, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-02-22
S63 Uniform Securities Agent State Law Examination 2000-05-30
  • S65 Uniform Investment Adviser Law Examination
    2002-02-22
  • S63 Uniform Securities Agent State Law Examination
    2000-05-30
Other Names
  • Christopher Michael Caledonia
  • Chris M Caledonia

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