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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-08-21
VI RA APPROVED 2024-07-26
  • TX RA
    APPROVED
    Since 2024-08-21
  • VI RA
    APPROVED
    Since 2024-07-26

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

5143 Palm Psge Charlotte Amalie, Charlotte Amalie, VI 00802 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Charlotte Amalie VI 03/2022 Present
Caribbean Surf Company St Thomas VI 05/1999 03/2022
Other Businesses

Name of the other businessBreathe Yoga StudioWhether the business is investment-relatedNOAddress of the other business St Thomas, VI 00802Nature of the other businessYoga Studio - Community outreachYour positionYoga InstructorTitle, or relationship with the other businessContracted Yoga Instructor that receives cash donations for teaching classesStart date of your relationship01/2021Approximate number of hours/month you devote to the other business4 or 5 per monthNumber of hours you devote to the other business during securities trading hours0Briefly describe your duties relating to the other businessInstruction of yoga posture, breathwork, mindfulness and meditation.Name of the other businessPrivate Yoga Classes and TYM workshopsWhether the business is investment-relatedNOAddress of the other businessNone - I go to the client's home or rent the yoga studio.Nature of the other businesswellness.Your positionYoga Instructor, and Thai Yoga Massage PractitionerTitle, or relationship with the other businessYoga Instructor, and Thai Yoga Massage PractitionerStart date of your relationship2019Approximate number of hours/month you devote to the other business2 hours per month max. This outside business is not pre-scheduled and can vary.Number of hours you devote to the other business during securities trading hours0Briefly describe your duties relating to the other businessPrivate yoga instruction, private and or community Thai Yoga Massage workshops. I*1184270 Name of OBA: Romano's Restaurant Address: N/A Investment Related: No Position, Title, Association: N/A Employee Start Date: N/A No Hours: N/A No Hours during trading: N/A Duties: Waitress/Service

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-07-22
  • S66 Uniform Combined State Law Examination
    2024-07-22

View on SEC IAPD

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