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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 2023-01-03
FL RA APPROVED 2022-12-02
  • TX RA
    APPROVED_RES
    Since 2023-01-03
  • FL RA
    APPROVED
    Since 2022-12-02

Branch Locations

9000 Southside Blvd Ci Relationship Management, Jacksonville, FL 32256 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
North Beach Fish Camp Neptune Beach FL 12/2015 04/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Jacksonville FL 04/2017 07/2022
Bank Of America, N.A. Jacksonville FL 09/2017 07/2022
Gwfs Equities, Inc/Empower Greenwood Village CO 07/2022 08/2022
Advised Assets Group, Llc / Empower Greenwood Village CO 07/2022 08/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Jacksonville FL 09/2022 Present
Bank Of America N.A. Jacksonville FL 10/2022 Present
  • 12/2015 → 04/2017
    North Beach Fish Camp
    Neptune Beach, FL
  • 04/2017 → 07/2022
    Jacksonville, FL
  • 09/2017 → 07/2022
    Bank Of America, N.A.
    Jacksonville, FL
  • 07/2022 → 08/2022
    Gwfs Equities, Inc/Empower
    Greenwood Village, CO
  • 07/2022 → 08/2022
    Advised Assets Group, Llc / Empower
    Greenwood Village, CO
  • 09/2022 → Present
    Jacksonville, FL
  • 10/2022 → Present
    Bank Of America N.A.
    Jacksonville, FL
Previous Registrations
Other Businesses

I*107417 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: UBER INVESTMENT RELATED: N ADDRESS OF BUSINESS: SAN FRANCISCO, CALIFORNIA 94105 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 7/20/2017 NUMBER OF HOURS DEVOTED: 24 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I WILL BE AN UBER DRIVER, PICKING UP AND DROPPING OFF UBER CUSTOMERS. I WILL WORK UNDER 6 HOURS PER WEEK FOR ADDITIONAL INCOME. I*110940 For profit or not for profit: For-Profit Organization Name of outside business organization: Lyft Investment related: N Address of business: San Francisco, California 94104 Nature of business: Corporation, Position, title, association: Part-Time, Start date of relationship: 12/7/2017 Number of hours devoted: 30 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Lyft Driver. Picking up and dropping off Lyft customers.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-09-23
  • S66 Uniform Combined State Law Examination
    2017-09-23
Other Names
  • Nicholas Grassia

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