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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2010-04-28
TX RA APPROVED_RES 1998-07-08
FL RA APPROVED 1983-05-09
  • ME RA
    APPROVED
    Since 2010-04-28
  • TX RA
    APPROVED_RES
    Since 1998-07-08
  • FL RA
    APPROVED
    Since 1983-05-09

Branch Locations

601 E Atlantic Ave, Delray Beach, FL 33483 • United States

Southwest Harbour, ME • 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 Delray Beach FL 07/1975 Present
Bank Of America, N.A. Delray Beach FL 05/2011 Present
Other Businesses

I*69249FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: CRC RECOVERY FOUNDATIONINVESTMENT RELATED: NO ADDRESS OF BUSINESS: DELRAY BEACH, FLORIDA 33483NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: OFFICER, START DATE OF RELATIONSHIP: 1/23/2014NUMBER OF HOURS DEVOTED: 10 HOURS MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 50 DUTIES: I RAISE FUNDS THRU 2 MAILINGS A YEAR. I AM PRESIDENT AND RUN THE ANNUAL MEETING AS SEMI ANNUAL MEETINGS. THE ENTITY PROVIDES FUNDING FOR OFF BALANCE SHEET NON OPERATING NEEDS TO ORGANIZATIONS IN S PALM BCH COUNTY WHOSE FUNCTION IS TO HELP THOSE IN RECOVERY I*406610, Entity Type: Entity For Profit Name of OBA Trust Address: VLG Of Golf, FL 33436 Investment Related: Y Position, Title, Association: Other, Committee Employee Start Date: 10/19/2016 No Hours: 5 No Hours during trading: 1 Duties: mom is deceased. this is her trust. now acting as trustee I*2133272, Entity Type: Entity For Profit, Name of OBA: Main Street LLC, Address: Village of Golf, Florida, 33436, Investment Related: Y, Position, Title, Association: Other, Employee State Date: 12/19/2024, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: this is son's LLC for his home in MA. At times i may buy or sell money fund assets to cover checks he writes for insurance, taxes etc....there are no securities in the account except for the money funds. i am on as authorize signor in case my son is not available or his traveling or he cannot call to do what is necessary I*: 2141262 Entity Type: Charitable Name of OBA: CRC RECOVERY FOUNDATION Address: Delray Bch, FL 33483-5658 Investment Related: No Position, Title, Association: Board Member, Officer Employee Start Date: 01/01/2024 Number of Hours: 120 hrs annually Number of Hours during trading: 1 hr annually Duties: Provide and maintain buildings owned by CRC and used by Crossroads and LSIS. Oversee the LSIS operations. Raise funds to accomplish our mission.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-02-22
S63 Uniform Securities Agent State Law Examination 1984-11-28
  • S65 Uniform Investment Adviser Law Examination
    1994-02-22
  • S63 Uniform Securities Agent State Law Examination
    1984-11-28

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