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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2021-01-21 |
| FL | RA | APPROVED | 2019-07-08 |
| TX | RA | APPROVED | 2019-07-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wachovia Securities Financial Network, Llc (11025) | Tampa | FL | 01/2009 | 02/2017 |
| Caregiver | Monroe | MI | 02/2017 | 10/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Tampa | FL | 10/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-06-30 |
| S63 | Uniform Securities Agent State Law Examination | 2004-07-09 |
| S65 | Uniform Investment Adviser Law Examination | 1999-02-03 |
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