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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 2019-06-04
TX RA APPROVED 2016-10-18
KY RA APPROVED 2016-10-10
  • FL RA
    APPROVED
    Since 2019-06-04
  • TX RA
    APPROVED
    Since 2016-10-18
  • KY RA
    APPROVED
    Since 2016-10-10

Branch Locations

250 International Pkwy, Lake Mary, FL 32746 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lexington KY 02/2016 Present
Bank Of America, N.A. Lexington KY 11/2018 Present
Other Businesses

I*1680317 Entity Type, Name of OBA: Gabriela Grace Foundation Address: AtlantaFlorida30350 Investment Related: No Position, Title, Association: Treasurer Employee Start Date: 02/01/2024 No Hours: Monthly No Hours during trading: 0 Duties: The entity is dedicated to providing resources and support to families who are grieving from perinatal loss or who are navigating the difficult journey of having a premature baby. The entity aims to increase awareness and education about preterm premature of membranes (PPROM) and necrotizing enterocolitis (NEC) which enables families to better advocate for themselves.Responsibilities: I will be appointed as Treasurer where I'm responsible for overseeing the non-profit's finances. These duties include establishing and reviewing the entity's budget, monitoring cash flow, organizing financial data, presenting reports to board members and ensuring the entity's finances are aligned to the overall mission.My sister and brother-in-law are starting this non-profit organization.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-10-05
  • S66 Uniform Combined State Law Examination
    2016-10-05
Other Names
  • John Rogers
  • Jonathan D Rogers
  • Jonathan David Rogers

View on SEC IAPD

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