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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-11-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fifth Third | Winter Garden | FL | 10/2007 | 10/2021 |
| Fifth Third Securities | Winter Garden | FL | 05/2020 | 10/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | The Villages | FL | 10/2021 | Present |
| Bank Of America, N.A. | The Villages | FL | 11/2021 | Present |
rental property - Winter Garden, FL - owner/landlord - nominal hrs/mo (0 during mkt hrs) - not securities related - will not interfere with duties at firm I*572247 For profit or not for profit: Entity For Profit Name of outside business organization: The Bowl Bar LLC Investment related: N Address of business: Windermere, Florida, 34786 Nature of business: ["Limited Liability Company"] Position, title, association: ["Owner"], Start date of relationship: 12/28/2020 Number of hours devoted: 0 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: , none
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-12-05 |
| S63 | Uniform Securities Agent State Law Examination | 2020-09-25 |
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