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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-07-12 |
| FL | RA | APPROVED | 2005-05-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Miami | FL | 09/2004 | Present |
| Bank Of America, N.A. | Miami | FL | 08/2013 | Present |
1.FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION2.NAME OF OUTSIDE BUSINESS ORGANIZATION: KEY BISCAYNE COMMUNITY FOUNDATION3.INVESTMENT RELATED: N4.ADDRESS OF BUSINESS:KEY BISCAYNE, FLORIDA 331495.NATURE OF BUSINESS: CHARITABLE ORGANIZATION,7.POSITION, TITLE, ASSOCIATION: PARTICIPANT, 8.START DATE OF RELATIONSHIP: 6/4/20139.NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY10.NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 011.DUTIES: KEY BISCAYNE COMMUNITY FOUNDATION IS A PHILANTHROPIC ORGANIZATION THAT MATCHES DONOR-ADVISED FUNDS WITH GRANTS TO WORTH COMMUNITY CAUSES. I WAS ASKED TO JOIN THE GRANT COMMITTEE WHICH EVALUATES GRANT REQUESTS. I*5117300, Entity Type: Entity For Profit, Name of OBA: Pelagos Holdings LLC, Address: Key Biscayne, Florida, 33149, Investment Related: N, Position, Title, Association: ["Officer","Owner"], Employee Start Date: 06/24/2026, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: Authorized Member,Florida LLC established to own a boat 50/50 with non-client friend. Boat will be purely for recreational purposes. No commercial activities.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-04-15 |
| S63 | Uniform Securities Agent State Law Examination | 1998-12-23 |
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