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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-12-15 |
| TX | RA | APPROVED_RES | 2011-01-03 |
| KY | RA | APPROVED | 2003-08-11 |
Branch Locations
300 W Vine St, Lexington, KY 40507 • United States
6311 Atrium Dr, Lakewood Ranch, FL 34202 • United States
Bradenton, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Lexington | KY | 06/2003 | Present |
| Bank Of America, N.A. | Lexington | KY | 11/2009 | Present |
I AM AUTHORING A TEXT BOOK FOR MIDDLE AND HIGH SCHOOL STUDENTS ON ECONOMICS AND THE INVESTMENT MARKETS CALLED WILD-N-WOOLY. IT IS MY INTENTION TO FINALIZE NEGOTIATIONS WITH THE PUBLISHING HOUSE WITHIN THE NEXT TWO YEARS. I WORK ON THIS IN THE EVENING, ON WEEKENDS AND VACATION TIME. IT IS NOT WORKED ON DURING REGULAR BUSINESS HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-12-03 |
| S66 | Uniform Combined State Law Examination | 2003-08-08 |
| S63 | Uniform Securities Agent State Law Examination | 1995-04-03 |
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