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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 2026-04-21
GA RA APPROVED 2009-02-11
CA RA APPROVED 2007-01-19
TX RA APPROVED_RES 2005-09-02
OH RA APPROVED 1999-08-09
  • FL RA
    APPROVED
    Since 2026-04-21
  • GA RA
    APPROVED
    Since 2009-02-11
  • CA RA
    APPROVED
    Since 2007-01-19
  • TX RA
    APPROVED_RES
    Since 2005-09-02
  • OH RA
    APPROVED
    Since 1999-08-09

Branch Locations

101 E Kennedy Blvd, Tampa, FL 33602 • United States

Lakewood Ranch, FL • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pepper Pike OH 04/1990 Present
Other Businesses

I*: 2674284 Entity Type: For Profit Name of OBA: Sea Suite Holdings, LLC Address: Longboat Key, FL 34228 Investment Related: No Position, Title, Association: Co-owner Employee Start Date: 09/15/2025 Number of Hours: 8 hrs mthly Number of Hours during trading: 0 Duties: Charter boat LLC in Longboat Key Florida

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-05-09
S63 Uniform Securities Agent State Law Examination 1990-07-06
  • S65 Uniform Investment Adviser Law Examination
    1994-05-09
  • S63 Uniform Securities Agent State Law Examination
    1990-07-06
Other Names
  • John Joseph Inhouse

View on SEC IAPD

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