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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 1998-04-20 |
| FL | RA | APPROVED | 1996-11-15 |
Branch Locations
1190 W Marion Ave, Punta Gorda, FL 33950 • United States
Cape Coral, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Punta Gorda | FL | 07/1996 | Present |
| Bank Of America, N.A. | Punta Gorda | FL | 07/2011 | Present |
NAME: DEAF SERVICE CENTER OF SWFLA INVESTMENT RELATED: NO ADDRESS: FT MYERS, FL 33907 NATURE: TO EMPOWER SWFLA'S DEAF AND HARD OF HEARING CITIZEN'S AND THEIR FAMILIES THROUGH EDUCATION,ADVOCACY AND COMMUNITY INVOLVEMENT. YOUR POSITION, TITLE, ASSOCIATION: BOARD OF DIRECTORS,COMMITTEE CHAIR FOR YOUTH AND FAMILY SERVICES, FINANCE COMMITTEE START DATE: 1 YEAR TERM 2005-2006 NUMBER OF HOURS DEVOTED PER MONTH: 8 NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: ZERO NAME: DAVIS ROOFING, INVESTMENT RELATED: NO ADDRESS: CAPE CORAL, FL, NATURE: ROOFING COMPANY YOUR POSITION, TITLE, ASSOCIATION: HUSBANDS BUSINESS, START DATE: 08/01/2003 NUMBER OF HOURS DEVOTED PER MONTH: 0, NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 0, DUTIES: HELP SPOUSE OVERSEE BUSINESS
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1996-12-14 |
| S65 | Uniform Investment Adviser Law Examination | 1996-12-14 |
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