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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2004-04-07
TX RA APPROVED_RES 1995-01-05
  • GA RA
    APPROVED
    Since 2004-04-07
  • TX RA
    APPROVED_RES
    Since 1995-01-05

Branch Locations

3455 Peachtree Rd Ne, Atlanta, GA 30326 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Atlanta GA 10/1991 Present
Bank Of America, Na Atlanta GA 07/2010 Present
Other Businesses

I*38778 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: TCAM PARTNERS, LP INVESTMENT RELATED: N ADDRESS OF BUSINESS: ATLANTA, GEORGIA 30327 NATURE OF BUSINESS: PARTNERSHIP, POSITION, TITLE, ASSOCIATION: LIMITED PARTNER, START DATE OF RELATIONSHIP: 9/10/2010 NUMBER OF HOURS DEVOTED: 1 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PARTNERSHIP WITH SIBLINGS TO COLLECT/OWN FUNDS MADE FROM TIMBER OWNED BY FATHER. 2) - BUSINESS OR ACTIVITY NAME - RAWCAS LLC FOR PROFIT OR NOT FOR PROFIT - FOR PROFIT ADDRESS OF BUSINESS - PO BOX 19366 JACKSONVILLE FLORIDA 32245 INVESTMENT RELATED - NO NUMBER OF HOURS DEVOTED - 1 HOUR/YEAR NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS - ZERO START DATE OF RELATIONSHIP - 3/1/2006 YOUR POSITION, TITLE, ASSOCIATION - MEMBER NATURE OF BUSINESS - LLC YOUR DUTIES - LIMITED LIABILITY CO ORGANIZED TO PURCHASED TIMESHARE OF AIRPLANCE THROUGH PLANESENSE. TASK IS TO MAKE PAYMENTS MONTHLY AND ANNUALLY TO PROVIDER I*121408 For profit or not for profit: For-Profit Organization Name of outside business organization: LUFRA Management LLC Investment related: N Address of business: Atlanta, Georgia 30342 Nature of business: LLC, Position, title, association: Family Held, Start date of relationship: 8/11/2011 Number of hours devoted: 1 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Managing 1% general partner of TCAM Partners LP, approved in AIM I*124197 For profit or not for profit: For-Profit Organization Name of outside business organization: Black Banks River Residences Association Investment related: N Address of business: Sea Island, Georgia 31567 Nature of business: Corporation, Position, title, association: Committee Member, Start date of relationship: 7/31/2019 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Vice President of our condominium association I*990342 For profit or not for profit: Name of outside business organization: Open Hand Atlanta Investment related: N Address of business: , , Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , Capital Campaign Committee Member

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-09-29
S63 Uniform Securities Agent State Law Examination 1991-12-12
  • S65 Uniform Investment Adviser Law Examination
    1994-09-29
  • S63 Uniform Securities Agent State Law Examination
    1991-12-12

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