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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-19 |
| TX | RA | APPROVED_RES | 2010-06-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated (7691) | Great Neck | NY | 06/2010 | Present |
| Bank Of America, N.A. | Great Neck | NY | 07/2011 | Present |
I*56532 FOR PROFIT OR NOT FOR PROFIT: FOR PROFIT NAME OF OUTSIDE BUSINESS ORGANIZATION: CONDO INVESTMENT RELATED: (YES OR NO) NO ADDRESS OF BUSINESS: MIAMI BEACH, FLORIDA 33140 NATURE OF BUSINESS: GENERAL PARTNERSHIP YOUR POSITION, TITLE, ASSOCIATION: OWNER START DATE OF RELATIONSHIP: 08/03/2012 NUMBER OF HOURS DEVOTED PER MONTH: 2 ANNUALLY NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 0 YOUR DUTIES: CONDO IN FLORIDA, WHICH WE'LL RENT OUT NOW AND USE IT AS A RETIREMENT RESIDENCE IN THE FUTURE. RESP. INCLUDE PAYING MAINTENANCE AND REAL ESTATE TAXES. I*435 For profit or not for profit: Name of outside business organization: condo held in joint Investment related: Address of business: Sunny Isles Beach, Florida 33160 Nature of business: , Position, title, association: , Start date of relationship: 7/2/2012 Number of hours devoted: 0 hour(s) Number of hours devoted during trading hours: 0 Duties: I*36431 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: BEATRIZ LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: BAYSIDE N.Y., NEW YORK 11040 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 6/6/1997 NUMBER OF HOURS DEVOTED: 5 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MY WIFE'S LLC 11.DUTIES: CONDO RENTAL PROPERTY. I*8166 For profit or not for profit: Name of outside business organization: condo held in joint #2 Investment related: Address of business: Sunny Isles Beach, Florida 33160 Nature of business: , Position, title, association: , Start date of relationship: 6/30/2012 Number of hours devoted: 0 hour(s) Number of hours devoted during trading hours: 0 Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-04-23 |
| S63 | Uniform Securities Agent State Law Examination | 1992-10-26 |
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