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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2021-11-15 |
| TX | RA | APPROVED | 2021-11-04 |
| NE | RA | APPROVED | 2021-08-12 |
Branch Locations
13321 California St, Omaha, NE 68154 • United States
Gallatin, TN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| New York Life Insurance Company | Franklin | TN | 11/2017 | 10/2019 |
| Nylife Securities Llc | Franklin | TN | 11/2017 | 10/2019 |
| The Pink Alligator | Hanover | NH | 10/2016 | 03/2017 |
| Jcrew | Hanover | NH | 12/2014 | 09/2016 |
| Massmutual Life Insurance Co | Franklin | TN | 10/2019 | 06/2021 |
| Mml Investors Services, Llc | Franklin | TN | 10/2019 | 06/2021 |
| Unemployed | Hanover | NH | 03/2017 | 11/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Omaha | NE | 06/2021 | Present |
| Bank Of America, N.A. | Omaha | NE | 08/2021 | Present |
(1) NAME: CAROLYN FLEURY TTEE INV REL: Y ADD: 82 MAPLE AVENUE, HOUSE 33 POINT O WOODS, BAY SHORE, NY 11706 NATURE:SIMPLE RENTAL PROPERTY/ RENTAL OF SUMMER HOME POSITION: TRUSTEE FOR CAROLYN W FLEURY TRUST, OWNER START DATE: 11/26/2019 NO. HR/MO: 2 NO. HR/MO DURING SEC TRADING: 0 (2) NAME: CAROLYN FLEURY INV REL: Y ADDR: 3401 MALLORY LN, STE 220, FRANKLIN, TN 37067 NATURE: OUTSIDE INSURANCE/NON-MMLIA: GROUP LIFE, HEALTH, DI POSITION: AGENT START: 10/15/2018 NO HRS/MO: 10 NO HRS/MO DUR TRADING: 10 DUTIES: SELL & SERVICE OUTSIDE INSURANCE. I*977292 For profit or not for profit: Entity For Profit Name of outside business organization: Wemple Farm Investment related: N Address of business: Waverly, Illinois Nature of business: ["Sole Proprietorship"] Position, title, association: ["Owner"], Start date of relationship: 8/31/2022 Number of hours devoted: 5 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: I inherited this farm, we grow corn. I have no responsibility as the day to day farming is managed by a farmer. I*965679, Name of OBA: Rental Property 1 Address: Point O'Woods, NY Investment Related: No Position, Title, Association: Sole owner Employee Start Date: 8/1/2022 No Hours: 6 Yearly No Hours during trading: 1 Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-05-19 |
| S63 | Uniform Securities Agent State Law Examination | 2018-06-27 |
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