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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-10-22 |
| TX | RA | APPROVED | 2021-10-21 |
Branch Locations
789 Sw Federal Hwy Ste 102, Stuart, FL 34994 • United States
Stuart, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Stuart | FL | 05/2009 | 10/2021 |
| Bank Of America, N.A. | Stuart | FL | 05/2011 | 10/2021 |
| Rbc Capital Markets, Llc | Stuart | FL | 10/2021 | Present |
| City National Bank | Stuart | FL | 12/2021 | Present |
1) I*124489 For profit or not for profit: Non-Profit Organization Name of outside business organization: Council On Aging Of Martin County, Inc. Investment related: N Address of business: Stuart, Florida 34997 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 6/26/2019 Number of hours devoted: 50 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: To be the primary provider of comprehensive life saving and life improving services and programs for seniors in Martin County. My role as a board member is contribute ideas and advice to enable the Council on Aging to achieve its mission 2) NAME OF ENTITY: Council on Aging of Martin County, Inc. ADDRESS: 900 SE Salerno Road Stuart, FL 34997 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Provides resources and support for seniors. Programs include Meals on Wheels, Adult Day Care, etc. CAPACITY: Board of Directors * START DATE: 10/21/21 DUTIES: Vice President of the non-profit Board of Directors HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 3) NAME OF ENTITY: Rental Property ADDRESS: Heritage Way Stuart, FL 34996 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Rental Property CAPACITY: Owner - Passive START DATE: 07/15/23 DUTIES: I own a rental house and intend to rent the house to my daughter at below market rent. HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1995-02-10 |
| S65 | Uniform Investment Adviser Law Examination | 1995-02-10 |
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