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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2017-04-19
DC RA APPROVED 1998-06-28
TX RA APPROVED_RES 1990-05-31
  • FL RA
    APPROVED
    Since 2017-04-19
  • DC RA
    APPROVED
    Since 1998-06-28
  • TX RA
    APPROVED_RES
    Since 1990-05-31

Branch Locations

1800 K St Nw, Washington, DC 20006 • United States

401 E Las Olas Blvd, Fort Lauderdale, FL 33301 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Washington DC 04/1988 Present
Bank Of America, N.A. Washington DC 12/2009 Present
Other Businesses

I*134369 For-Profit Name: POA Investment related: Yes Address: Lowland, NC 28552 Nature of business: Revocable Trust Start: 10/26/2020 Hrs devoted: 1 Hr mthly Duties: Timber land Family Held I*9350 For profit Name: Rental Investment related: No Address: New York, New York 10065 Start date: 1/31/2020 Hrs devoted: 1 hr Hrs during trading: 0 I*111410 For-Profit Name: Dexter Street LLC Investment related: No Address: Washington, DC 20037 Nature of business: LLC Start date: 01/01/2018 Hrs devoted: 1 hr Mthly During trading hours: 0 Duties: Rental property I*327 For-Profit Name: J. L. Address: Falls Church, Virginia 22044 Start date: 10/12/2011 Hrs devoted: 1 hr Mthly During trading: 0 Duties: Rental property I*675 For-Profit Name: J. L. Address: Great Falls, Virginia 22066 Start date: 08/19/2013 Hrs devoted: 1 hour Mthly During trading : 0 Duties: Rental property I*2488 For-Profit Name: J. L. Address: Alexandria, Virginia 20037 Start date: 01/01/1998 Hrs devoted: 2 hrs Mthly During trading: 0 Duties: Rental Property I*2489 For-Profit Name: J. L. Address: Alexandria, Virginia 22312 Start date: 01/01/1998 Hrs devoted: 2 hours Monthly During trading: 0 Duties: Rental property I*2491 For-Profit Name: J. L. Address: Alexandria, Virginia 22312 Start date: 01/01/1998 Hrs devoted: 2 hrs Mthly During trading: 0 Duties: Rental property I*2492 For-Profit Name: J. L. Address: Falls Church, Virginia 22207 Start date: 01/01/1998 Hrs Devoted: 2 hrs Mthly During trading: 0 Duties: Rental Property I*2493 For-Profit Name: J. L. Address: Herndon, Virginia 20171 Start date: 01/01/1998 Hrs Devoted: 2 hrs Mthly During trading: 0 Duties: Rental property I*2494 For-Profit Name: J. L. Address; Arlington, Virginia 22207 Start date: 01/01/1998 Hrs Devoted: 2 hrs Mthly During trading: 0 Duties: Rental property I*2495 For-Profit Name: J. L. Address: Alexandria, Virginia 22207 Start date : 01/01/1998 Hrs Devoted: 2 hrs Mthly During trading: 0 Duties: Rental property I*2496 For-Profit Name: J. L. Address: Washington, DC 20011 Start date: 01/01/1998 Hrs Devoted: 2 hrs Mthly During trading: 0 Duties: Rental property I*2497 For-Profit Name: J. L. Address: New York, NY 10045 Start date: 01/01/1998 Hrs Devoted: 2 hrs Mhly During trading: 0 Duties: Rental property I*2498 For-Profit Name: J. L. Address: New York, NY 10045 Start date: 01/01/1998 Hrs Devoted: 2 hrs Mthly During trading: 0 Duties: Rental property I*2721 For-Profit Name: J. W. L. Address: Washington, DC 20037 Start date: 09/15/2011 Hrs Devoted: 2 hrs Mthly Hrs During trading: 0 Duties: Rental property I*2851 For-Profit Name: J. W L. Rental Property Address: Washington, DC 20037 Start date: 12/03/2012 Hrs Devoted: 1 hr Annually Hrs During trading: 0 Duties: Rental property I*2852 For-Profit Name: J. L. Rental Property Address: Washington, DC 20037 Start date: 05/31/2013 Hrs Devoted: 1 hr Mthly Hrs During trading: 0 Duties: Rental property I*3036 For-Profit Name: J. L. Address: Ft. Lauderdale, FL 33301 Start date: 10/01/2014 Hrs Devoted: 1 hr Mthly Hrs Devoted during trading: 0 Duties: Rental property I*3102 For-Profit Name: J. L. Address: New York, NY 10065 Start Date: 02/27/2015 Hrs Devoted: 1 hr Mhly Hrs devoted during trading: 0 Duties: Rental property I*71143 Name: ALL SOULS EPISCOPAL CHURCH Investment Related: NO Address: WASHINGTON, DC 20008 Entity Type: CHARITABLE ORGANIZATION, Position: COMMITTEE MEMBER Start Date: 4/1/2014 Hrs Devoted: 2 I*1221271 For profit or not for profit: Name: F. R. B., III Investment related: No Address: Washington, DC, 20037 Position, title, association: Power of Attorney Start date: 3/17/2023 Hrs devoted: 4 hours Weekly Hrs devoted during trading hours: 0 Duties: POA I*: 418639 Entity Type: Name of OBA: Watergate East Address: Washington, DC 20037 Investment Related: No Position, Title, Association: Committee, Board Member Employee Start Date: 4/11/2014 Number of Hours: 3 hrs mtly Number of Hours during trading: 0 Duties: Board member

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-07-13
S63 Uniform Securities Agent State Law Examination 1983-05-03
  • S65 Uniform Investment Adviser Law Examination
    1993-07-13
  • S63 Uniform Securities Agent State Law Examination
    1983-05-03
Other Names
  • Jim Lewis

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