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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 2005-08-25
TX RA APPROVED_RES 2004-08-17
  • FL RA
    APPROVED
    Since 2005-08-25
  • TX RA
    APPROVED_RES
    Since 2004-08-17

Branch Locations

355 Alhambra Cir, Coral Gables, FL 33134 • United States

355 Alhambra Cir Pbig-Florida Pwm Cg, Coral Gables, FL 33134 • 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 Miami FL 04/1984 Present
Bank Of America, N.A. Miami FL 11/2009 Present
Other Businesses

1.FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION2.NAME OF OUTSIDE BUSINESS ORGANIZATION: BERRY ISLAND TRUST3.INVESTMENT RELATED: N4.ADDRESS OF BUSINESS:GREAT HARBOUR CAY, 05.NATURE OF BUSINESS: CHARITABLE ORGANIZATION,7.POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, 8.START DATE OF RELATIONSHIP: 4/1/20139.NUMBER OF HOURS DEVOTED: 20 HOUR(S) ANNUALLY10.NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 011.DUTIES: HOME OWNERS ASSOCIATION. I*129837For profit or not for profit: For-Profit OrganizationName of outside business organization: FRP LLCInvestment related: NAddress of business:miami, Florida 33143Nature of business: LLC,Position, title, association: Family Held, Start date of relationship: 2/1/2020Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: Own property with wife I*3961282, Entity Type: , Name of OBA: THE DUTCH AT SEGOVIA CONDOMINIUM ASSOCIATION, INC., Address: coral Gables , Florida, 33134, Investment Related: N, Position, Title, Association: Owner, Employee Start Date: Owner, No Hours: 10 Yearly, No Hours during Trading: 0 Yearly, Duties: attend yearly meeting , pay expenses ( insurance for building ). that is it. Home owners association , condo of 2 units .

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-12-01
S63 Uniform Securities Agent State Law Examination 1984-06-27
  • S65 Uniform Investment Adviser Law Examination
    2005-12-01
  • S63 Uniform Securities Agent State Law Examination
    1984-06-27
Other Names
  • Esteban J Prelleza

View on SEC IAPD

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