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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-07-23 |
Branch Locations
22 Bull St, Savannah, GA 31401 • United States
701 Brickell Ave, Miami, FL 33131 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chicago | IL | 05/2005 | 05/2019 |
| Bofa Securities, Inc. | Chicago | IL | 05/2019 | 05/2022 |
| Merrill Lynch Pierce Fenner Smith, Inc. | Chicago | IL | 05/2022 | Present |
I*: Entity Type:. Not for profit Name: Chicago Public Library Foundation Investment Type: No Address: Chicago, IL, 60606 Position: Board Member Start Date: March 2023 Hours Devoted: 12-15 hours annually Hours Devoted during trading hours: 3-5 hours/year Duties: Non profit foundation. The Library Foundation is an independent 501(c)(3) nonprofit organization founded in 1986 to raise private funds for Chicago Public Library. Attend board meetings, attend events (when possible), introduce friends and network to library services I*: 2575272 Entity Type: Non Profit Name of OBA: Friends of the Miami-Dade Public Library Address: Miami, FL Investment Related: No Position, Title, Association: Board Member Employee Start Date: 10/22/2025 Number of Hours: 2 hrs wkly Number of Hours during trading: 0 Duties: Raising awareness and funds to support key library programming including mobile device lending, homework help and wifi access for all residents. Engagement committee member working on silent auction donations for upcoming benefit.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-07-22 |
| S63 | Uniform Securities Agent State Law Examination | 2005-02-10 |
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