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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2013-09-12 |
| FL | RA | APPROVED | 2012-12-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Winter Park | FL | 06/2012 | Present |
| Bank Of America, N.A. | Winter Park | FL | 02/2013 | Present |
(1)FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: CME INVESTMENT RELATED: N ADDRESS OF BUSINESS: 141 WEST JACKSON BLVD, CHICAGO, ILLINOIS 60604 NATURE OF BUSINESS: OTHER,MEMBERSHIP OWNER POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 9/4/2002 NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: EXCHANGE MEMBERSHIP OWNER. (2)FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: CHICAGO BOARD OF TRADE/CHICAGO MERCANTILE EXCHANGE INVESTMENT RELATED: N ADDRESS OF BUSINESS: 111 W JACKSON BLVD, CHICAGO, ILLINOIS 60606 NATURE OF BUSINESS: OTHER,I OWN THE TRADING RIGHTS TO A CBOT FULL MEMBERSHIP POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 9/4/2002 NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: NO RESPONSIBILITIES. I AM A TRADING SEAT MEMBERSHIP HOLDER.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-12-20 |
| S63 | Uniform Securities Agent State Law Examination | 1990-10-30 |
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