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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 1990-03-09 |
Branch Locations
1276 Metropolitan Blvd, Tallahassee, FL 32312 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Tallahassee | FL | 03/1990 | Present |
| Bank Of America, N.A. | Tallahassee | FL | 06/2011 | Present |
I*91464 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SELF INVESTMENT RELATED: NO ADDRESS OF BUSINESS: TALLAHASSEE, FLORIDA 32308 NATURE OF BUSINESS: SOLE PROPRIETORSHIP POSITION, TITLE, ASSOCIATION: OWNER START DATE OF RELATIONSHIP: 3/13/2016 NUMBER OF HOURS DEVOTED: 1 HOUR ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I OWN THIS RENTAL HOUSE WITH MY WIFE I*91465 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SELF INVESTMENT RELATED: YES ADDRESS OF BUSINESS: TALLAHASSEE, FLORIDA 32308 NATURE OF BUSINESS: SOLE PROPRIETORSHIP POSITION, TITLE, ASSOCIATION: OWNER START DATE OF RELATIONSHIP: 3/13/2016 NUMBER OF HOURS DEVOTED: 1 HOUR ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I OWN THIS RENTAL HOUSE WITH MY WIFE I*91467 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: JOINT TENNANTS WITH L. D. INVESTMENT RELATED: YES ADDRESS OF BUSINESS: TALLAHASSEE, FLORIDA 32301 NATURE OF BUSINESS: SOLE PROPRIETORSHIP POSITION, TITLE, ASSOCIATION: OWNER START DATE OF RELATIONSHIP: 3/6/2016 NUMBER OF HOURS DEVOTED: 1 HOUR ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MY BROTHER IN LAW AND I HOLD A MORTGGE ON A PROPERTY WE SOLD I*1923266 Entity Type, Name of OBA: Finra Address: Washington District of Columbia20006 Investment Related: No Position, Title, Association: Committee Employee Start Date: 11/30/2024 No Hours: 10 Yearly No Hours during trading: 0 Duties: Outside arbitrator for Finra, I have done this many years ago. I*: 2175371 Entity Type: Charitable Name of OBA: University of the South Address: Sewanee, TN 37383 Investment Related: No Position, Title, Association: Employee Employee Start Date: 04/10/2025 Number of Hours: 15 hrs annually Number of Hours during trading: 0 Duties: I will officiate at several Track and Field competitions
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-08-25 |
| S63 | Uniform Securities Agent State Law Examination | 1981-02-04 |
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