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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VT | RA | APPROVED | 2025-06-09 |
| TX | RA | APPROVED_RES | 1992-05-19 |
| FL | RA | APPROVED | 1983-05-09 |
Branch Locations
301 Se 17Th St, Ocala, FL 34471 • United States
Ocala, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Ocala | FL | 08/1980 | Present |
| Bank Of America, N.A. | Ocala | FL | 05/2011 | Present |
I*46074 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: COMMUNITY FOUNDATION OF MARION COUNTY INVESTMENT RELATED: N ADDRESS OF BUSINESS: OCALA, FLORIDA 34471 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 10/19/2011 NUMBER OF HOURS DEVOTED: 3 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: IT IS A BRAND NEW ORGANIZATION SET UP LIKE MOST COMMUNITY FOUNDATIONS.MY ROLE IS TO ADVISE AND SERVE THE FOUNDATION IN WHATEVER CAPACITY I'M CALLED ON TO DO. I*59418 For profit or not for profit: For-Profit Organization Name of outside business organization: Sumerhouse 311 LLC Investment related: N Address of business: Ocala, Florida 34471 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 12/1/2009 Number of hours devoted: 1 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: condo used only by owners. I*1373255 For profit or not for profit: Entity Charitable Name of outside business organization: United Way of Marion County Investment related: N Address of business: OBA, OBA, OBA Nature of business: ["Charitable Organization"] Position, title, association: ["Committee"], [["Fundraising committee"]] Start date of relationship: 7/1/2023 Number of hours devoted: 2 hour(s) Weekly Number of hours devoted during trading hours: 2 Duties: , I've been asked to head up the Tocqueville Society of the Marion County United Way
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-02-16 |
| S63 | Uniform Securities Agent State Law Examination | 1988-09-23 |
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