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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2025-05-22 |
| TX | RA | APPROVED_RES | 2022-06-02 |
| FL | RA | APPROVED | 2017-05-22 |
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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Sarasota | FL | 06/2010 | 05/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Sarasota | FL | 05/2017 | Present |
| Bank Of America, N.A. | Sarasota | FL | 06/2017 | Present |
I*546246 For profit or not for profit: Entity Charitable Name of outside business organization: The Out of Door Academy Investment related: No Address of business: Sarasota, Florida, 34240 Nature of business: School, College or University Position, title, association: Assistant Coach Start date of relationship: 8/2/2021 Number of hours devoted: 20 hours Weekly Number of hours devoted during trading hours: 2 Duties: Assist in coaching kids in cross country and track, Assistant Coach
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-09-25 |
| S66 | Uniform Combined State Law Examination | 2003-08-28 |
| S63 | Uniform Securities Agent State Law Examination | 1992-09-25 |
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