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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2010-01-26 |
| NC | RA | APPROVED | 2009-10-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 10/2009 | Present |
I*515944For profit or not for profit: Entity For ProfitName of outside business organization: Tortuga Investments LLCInvestment related: NAddress of business: Charlotte, North Carolina, 28205Nature of business: ["Limited Liability Company"]Position, title, association: ["Owner"], Start date of relationship: 8/4/2021Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , Rental Property - record maintenance and general administration I*5178268, Entity Type: Entity For Profit, Name of OBA: Tortuga Consulting, LLC, Address: Charlotte, North Carolina, 28205, Investment Related: N, Position, Title, Association: ["Owner"], Employee Start Date: 08/03/2026, No Hours: 2 Monthly, No Hours during Trading: 0 Monthly, Duties: I am a member and authorized person for the LLC Consulting Services
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-12-09 |
| S63 | Uniform Securities Agent State Law Examination | 2006-08-10 |
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