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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2012-10-18
FL RA APPROVED 2008-06-09
  • TX RA
    APPROVED_RES
    Since 2012-10-18
  • FL RA
    APPROVED
    Since 2008-06-09

Branch Locations

4705 S Apopka Vineland Rd, Orlando, FL 32819 • 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 Orlando FL 06/2008 Present
Bank Of America,N.A. Orlando FL 06/2011 Present
Previous Registrations
  • 2006-02-21 → 2008-06-26
    Pensacola, FL
    Orlando, FL
    Pensacola, FL
    Orlando, FL
    Orlando, FL
  • 1996-06-05 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Pensacola, FL
    Orlando, FL
Other Businesses

NEW REAL ESTATE PARTNERSHIP REAL ESTATE-WAREHOUSE NONE EQUAL PARTNERSHIP-COMMERCIAL REAL ESTATE SILVER KING PROPERTIES, LLC 9518 BLACK BEAR LANE WINTER GARDEN, FL 34787 REAL ESTATE ASAP NONE NONE MEMBER-LLC; WILL HOLD PROPERTY FOR LIABILITY PURPOSES. I*38435 For profit or not for profit: For-Profit Organization Name of outside business organization: Alpha Omega Chapter--Alpha Tau Omega Fraternity Investment related: No Address of business: Gainesville, Florida 32601 Nature of business: Corporation Position, title, association: Director Start date of relationship: 1/1/2010 Number of hours devoted: 2 hours Annually Number of hours devoted during trading hours: 0 Duties: Board member of my fraternity. Quarterly Board of Trustee Conference Calls. I*888241 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: No Address of business: Anna Maria, Florida, 34216 Position, title, association: Co-owner with other family members Start date of relationship: 6/15/2022 Number of hours devoted: 0 Number of hours devoted during trading hours: 0 Duties: Co owner of rental property I*: 2389311 Entity Type: Charitable Name of OBA: University of Florida Foundation Board Address: Gainesville, Fl 32603 Investment Related: No Position, Title, Association: Board member Employee Start Date: 08/01/2025 Number of Hours: 10 hrs annually Number of Hours during trading: 0 Duties: To support The University of Florida and to promote institutional integrity, educational excellence, and financial stability.........responsibilities would be semiannual board meetings

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-07-18
S63 Uniform Securities Agent State Law Examination 1995-07-14
  • S65 Uniform Investment Adviser Law Examination
    1996-07-18
  • S63 Uniform Securities Agent State Law Examination
    1995-07-14
Other Names
  • James Richard Millar
  • James R Millar

View on SEC IAPD

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