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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_RES 1992-10-06
FL RA APPROVED 1983-05-09
  • TX RA
    APPROVED_RES
    Since 1992-10-06
  • FL RA
    APPROVED
    Since 1983-05-09

Branch Locations

Tampa, FL • United States

101 E Kennedy Blvd, Tampa, FL 33602 • 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 Tampa FL 04/1981 Present
Bank Of America, N.A. Tampa FL 12/2009 Present
Other Businesses

I*74789 FOR-PROFIT ORGANIZATION - NO LEGAL NAME, JUST A RENTAL HOUSE, LITHIA, FLORIDA 33547 - INVESTMENT RLT'D - YES, HRS DEVOTED TO ACTIVITY - 1 HOUR(S) QUARTERLY, HRS DURING TRADING - 0, DATE ACTIVITY BEGAN 08/19/04, POSITION - PARTNERSHIP; RENTAL HOUSE. I*79977 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: YEN-TEES, INC. INVESTMENT RELATED: N ADDRESS OF BUSINESS: THONOTOSASSA, FLORIDA 33592 NATURE OF BUSINESS: S-CORP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 3/31/2015 NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: DESIGN AND LICENSE/SELL T SHIRTS I*42229 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RANDY FREEDMAN INVESTMENT RELATED: N ADDRESS OF BUSINESS: DOGWOOD VALLEY DR., TALLAHASSEE, FLORIDA 32201 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 6/1/2011 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL HOME I*103492 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: BIG CAT GEAR, LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: TAMPA, FLORIDA 33615 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, MEMBER START DATE OF RELATIONSHIP: 3/20/2017 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: DISTRIBUTE PISTOL GRIPS I*101555 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: LED123, INC INVESTMENT RELATED: N ADDRESS OF BUSINESS: THONOTOSASSA, FLORIDA 33592 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: OFFICER, START DATE OF RELATIONSHIP: 1/17/2017 NUMBER OF HOURS DEVOTED: 4 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: DISTRIBUTOR OF LED LIGHTING PRODUCTS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-03-17
S63 Uniform Securities Agent State Law Examination 1981-09-25
  • S65 Uniform Investment Adviser Law Examination
    1995-03-17
  • S63 Uniform Securities Agent State Law Examination
    1981-09-25

View on SEC IAPD

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