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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2011-10-05
TX RA APPROVED 2011-10-05
  • FL RA
    APPROVED
    Since 2011-10-05
  • TX RA
    APPROVED
    Since 2011-10-05

Branch Locations

9000 Southside Blvd Bldg 500, Jacksonville, FL 32256 • United States

One Bryant Park, New York, NY 10036 • 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 Jacksonville FL 06/2011 Present
Bank Of America, N.A. Jacksonville FL 08/2011 Present
Other Businesses

I*121535 For profit or not for profit: For-Profit Organization Name of outside business organization: M.O.E. Sports Management, LLC Investment related: N Address of business: Jacksonville, Florida 32277 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 4/1/2018 Number of hours devoted: 15 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: The company is a photography and videography service for businesses in the health, sports and fitness arena. We provide high quality production services by creating digital marketing material (mostly video promotional tools) to help market them.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-10-03
  • S66 Uniform Combined State Law Examination
    2011-10-03

View on SEC IAPD

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