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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2010-06-22 |
| FL | RA | APPROVED | 2009-12-01 |
| TX | RA | APPROVED_RES | 2008-03-04 |
Branch Locations
1040 Stony Hill Rd, Yardley, PA 19067 • United States
660 Beachland Blvd, Vero Beach, FL 32963 • United States
Vero Beach, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Princeton | NJ | 02/2008 | Present |
| Bank Of America, N.A. | Princeton | NJ | 09/2009 | Present |
For profit or not for profit: For-Profit Organization Name of outside business organization: Ponderosa Enterprises,LLC Investment related: N Address of business: cutchogue, New York 11935 Nature of business: LLC, Position, title, association: Family Held, Start date of relationship: 9/5/2012 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 1 Duties: vacation home rental FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: THE FLOTTERON FAMILY FOUNDATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: VERO BEACH, FLORIDA 32963 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: TRUSTEE, START DATE OF RELATIONSHIP: 12/29/2017 NUMBER OF HOURS DEVOTED: 5 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: CHARITABLE FOUNDATION
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-04-14 |
| S63 | Uniform Securities Agent State Law Examination | 1985-02-13 |
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