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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-08-21 |
| FL | RA | APPROVED | 2024-08-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Good Shepherd Hospice | Sebring | FL | 12/2003 | 02/2021 |
| B.RIley Wealth Management, Inc. | Nashville | TN | 03/2021 | 10/2022 |
| B. Riley Wealth Advisors, Inc. | Nashville | TN | 07/2022 | 10/2022 |
| B. Riley Wealth Advisors, Inc. | Nashville | TN | 07/2022 | 10/2022 |
| Oppenheimer & Co, Inc. | Nashville | TN | 10/2022 | 01/2023 |
| Statler Financial Services, Inc. | Sebring | FL | 08/2023 | 07/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Sarasota | FL | 07/2024 | Present |
| Bank Of America, N.A. | Sarasota | FL | 09/2024 | Present |
| Oppenheimer & Co, Inc. | Nashville | TN | 02/2023 | 08/2023 |
1.Land Shapes, Inc., an S Corporation; Non Investment- related; Sebring, FL 33876; Land Clearing Business - Shareholder, Director, Secretary, Treasurer; Start date: 1996; 1-2 hours/ month devoted, 0 during securities trading hours. Land Clearing Business - Duties are overseeing a bookkeeper, tax documents, meetings with business partner, and organizing mail. 2. Ridgeland Ag Corp., an S Corporation; Non Investment - related; Sebring, FL 33876; Director, Secretary, Treasurer - Agriculture business, citrus and cattle; Start date: 2009. 3-5 hours/ month devoted, 0 during securities trading hours. Director, Secretary, Treasurer - Duties are overseeing a bookkeeper, tax documents, meetings with owner, and organizing mail.3. Highlands County CattleWomen's Association, Sebring, FL 33876, Treasurer, Start Date: October 2019, 2-4 hours/month devoted, 0 hours per month devoted during securities trading hours, Duties are performing AP, AR, and bookkeeping services. 4. Fixed Insurance (Non-variable), Sebring, FL, Investment Related, Insurance Agent, Start Date: 08/2023, Licensed since 07/10/2021, 0 hours per month devoted, 0 hours per month devoted during securities trading hours, fixed insurance sales. I*1951272, Entity Type:Entity For Profit, Name of OBA: Ridgeland Ag Corp Address: Sebring, FL 33876 Investment Related: NO Position, Title, Association: Treasurer,Director Employee Start Date: 9/1/2009 No Hours: 3 hrs monthly No Hours during trading: Duties:Director, Secretary, Treasurer - Duties are overseeing a bookkeeper, overseeing the filing tax documents, consulting, and attending meetings with owner. I*1951273 , Entity Type,charitable Name of OBA: Address: Highlands County CattleWomens Association Investment Related: no Position, Title, Association: treasurer Employee Start Date:01/01/2020 No Hours: 3 monthly No Hours during trading: 0 Duties:Treasurer of the organization I*5007274, Entity Type: , Name of OBA: Empath Tidewell Foundation, Address: Sarasota, Florida, 34239, Investment Related: N, Position, Title, Association: committee, Employee Start Date: 08/11/2026, No Hours: 3 Monthly, No Hours during Trading: 2 Monthly, Duties: Serve on a committee for their annual Lakeside legacy Walk. Hospice Services
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-07-03 |
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