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880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2019-03-25 |
Branch Locations
265 Church Street Suite 401, New Haven, CT 06510 • United States
Middletown, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 | New Haven | CT | 11/2008 | 03/2019 |
| Bank Of America, N.A. | New Haven | CT | 06/2011 | 03/2019 |
| Raymond James & Associates, Inc | New Haven | CT | 03/2019 | Present |
GENERAL NOTES: 9/3/2014 9:59 MILLER, WILLIAM : THIS IS A SMALL CLUB FUNDED MAINLY BY MEMBER DUES. THERE ARE APPROXIMATELY 30 MEMBERS AND DUES ARE $400 PER. TOURNAMENTS TYPICALLY GENERATE AN ANNUAL PROFIT OF ABOUT 3-4000. THIS ORGANIZATION HAS A TAX ID AND A BANK ACCOUNT BUT IS NOT A REGISTERED NON-PROFIT. THERE ARE ANNUAL FINANCIAL STATEMENTS PREPARED TYPICALLY BY THE TREASURER AND THE PRESIDENT. I HAVE TOLD THEM I CANNOT HANDLE ANY FINANCIAL MATTERS NOR CONTROL FUNDS. MY PRIMARY ROLE I BELIEVE IS TO RECRUIT NEW MEMBERS AND SERVE ON A COMMITTEE. I AM NOT AWARE WHAT THE COMMITTE STTRUCTURE IS AT THIS TIME BUT WILL UPDATE AS NEW INFORMATION BECOMES AVAILABLE. MY CLIENT IS THE PRESIDENT OF THE BOARD AND ASKED ME TO SERVE, I BELIEVE MAINLY BECAUSE OF MY AGE. THE ORGANIZATION IS PRIMARILY OLDER PEOPLE AND FOR THE CLUB TO SURVIVE YOUNGER INDIVIDUALS WILL NEED TO TAKE LEADERSHIP ROLES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-03-05 |
| S63 | Uniform Securities Agent State Law Examination | 1993-02-18 |
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