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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2024-04-22 |
| FL | RA | APPROVED | 2021-01-11 |
| TX | RA | APPROVED_RES | 2021-01-11 |
Branch Locations
6311 Atrium Dr, Lakewood Ranch, FL 34202 • United States
Johnston City, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc. | Bethesda | MD | 07/2015 | 10/2016 |
| Wells Fargo Bank Na | Bethesda | MD | 07/2015 | 10/2016 |
| Wells Fargo Bank Na | Rockville | MD | 10/2016 | 04/2019 |
| Wells Fargo Advisors, Llc. | Rockville | MD | 10/2016 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Rockville | MD | 11/2016 | 04/2019 |
| Hightower Securities, Llc | Chicago | IL | 10/2019 | 12/2020 |
| Unemployed | Olney | MD | 04/2019 | 10/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Lakewood Ranch | FL | 01/2021 | Present |
I*927686 For profit or not for profit: Entity For Profit Name of outside business organization: 13 Hearts LLC Investment related: N Address of business: Lakewood Ranch, Florida, 34211 Nature of business: Limited Liability Company Position, title, association: Owner, Start date of relationship: 7/25/2022 Number of hours devoted: 0 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: , Company established for my husband, but listed my name as part owner. He plans to do sales coaching as a consultant. I won't actually be involved in the business.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-11-12 |
| S63 | Uniform Securities Agent State Law Examination | 2010-05-27 |
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