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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-11-18 |
| FL | RA | APPROVED | 2024-11-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Lake Mary | FL | 01/2016 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Lake Mary | FL | 11/2016 | 06/2021 |
| Morgan Stanley | Winter Park | FL | 06/2021 | 10/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Winter Park | FL | 10/2024 | Present |
I*: 2048363Name of the other business: DJ AJ LLCWhether the business is investment-related noAddress of the other business Lake Mary, FL Nature of the other business LLCYour position Co-owner along with my husbandTitle, or relationship with the other business Co-ownerStart date of your relationship6/1/2016Approximate number of hours/month you devote to the other business1hour/monthNumber of hours you devote to the other business during securities trading hours 0Briefly describe your duties relating to the other business This is an LLC opened for possibly purchasing investment properties in LLC name vs. individual names. We currently have no properties owned under LLC name.I*: 2050268Name of the other business ROOTING FOR JOY INCWhether the business is investment-related Non-for profitAddress of the other business: MAITLAND, FL Nature of the other business Nonprofit organization that aims to promote joy, gentleness, and kindness through community and nature.Your position Board memberTitle, or relationship with the other business Board memberStart date of your relationship12/1/2022Approximate number of hours/month you devote to the other business1hr/monthNumber of hours you devote to the other business during securities trading hours 0Briefly describe your duties relating to the other business Serve as board member to help organization with events to help community. I*2129258, Entity Type, Name of OBA: Rental Property 1 Address: Tallahassee, Florida, 32303 Investment Related: N Position, Title, Association: Co-owner with other family members Employee Start Date: 12/16/2024 No Hours: 1 M No Hours during trading: 0 Duties: Rental Property
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-03-19 |
| S63 | Uniform Securities Agent State Law Examination | 2011-10-31 |
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