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1345 Avenue Of The Americas, New York, NY 10105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2026-08-20 |
| TX | RA | APPROVED_RES | 2026-08-20 |
Branch Locations
1 disclosure category 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Baltimore | MD | 06/1991 | 11/2022 |
| Bank Of America, N.A. | Easton | MD | 07/2011 | 11/2022 |
| Stifel Independent Advisors, Llc | Chestertown | MD | 11/2022 | 08/2026 |
| Equitable Advisors, Llc | Chestertown | MD | 08/2026 | Present |
1.Mac4 Corp; 4809 Crosby Rd, Rock Hall, MD 21661; Wetland Habitat Consulting; Owner; Providing the consulting expertise; 12/02/2011; 4 Hours per Month; Not during securities trading hours; Not Investment-Related. 2. All Seasons Capital & Advisory; 6602 Church Hill Road Suite 250, Chestertown, MD 21620; Financial advisory, investment and wealth management; President; Operate the practice; 11/21/2022; 10 Hours per Day; During Securities Trading Hours; Investment Related. 3. JFM 401k Plan and Trust; 4809 Crosby Road, Rock Hall, MD 21661; Retirement plan; Owner of the plan and account; 04/28/2023; 1 Hour per Month; Not During Securities Trading Hours; Investment Related. 4. Mac4 LLC; 7432 East Side Drive Chincoteague VA 23336; vacation rental real estate; member; pay bills collect revenue; 10/12/2023; 2.00hrs/month; Not during securities trading hours; Investment-Related 5. RH Vacations LLC; 4809 Crosby Road MD 21661; vacation rental real estate; member; manage operations; 10/02/2023; 4.00hrs/month; Not during securities trading hours; Investment-Related 6. Long Point Farm LLC; 4809 Crosby Road Rock Hall MD 21661; grain farm, wetland habitat and waterfowl hunting; member; collect revenue, pay bills; 10/27/2023; 2.00hrs/month; Not during securities trading hours; Investment-Related 7. US Sailing; 1 Roger Williams University Way Bristol RI 02809; Governing body for the Sport of Sailing in the United States; Principal Race Officer; Head Official conducting racing on the water; 05/15/1992; 8 hrs/quarter; Not during securities trading hours; Not Investment-Related 8. Bond Chapel Foundation; 8 the Green STE R Dover DE 19901; Private non profit foundation; director; consult with my brother who formed the foundation for restoring the Bond Chapel; 01/20/2025; 5 hrs/month; Not during securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-11-03 |
| S63 | Uniform Securities Agent State Law Examination | 1991-08-30 |
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