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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-08-26 |
| TX | RA | APPROVED | 2025-08-25 |
Branch Locations
1201 Pacific Ave Ci Client Management, Tacoma, WA 98402 • United States
9000 Southside Blvd Ci Client Management, Jacksonville, FL 32256 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Utopia Shop Llc | Orlando | FL | 03/2022 | 08/2023 |
| Capri Group Inc. | Miami | FL | 01/2015 | 03/2022 |
| Thrivent Investment Management Inc | Minneapolis | MN | 08/2023 | 05/2025 |
| Td Ameritrade | Miami | FL | 06/2010 | 08/2023 |
| Thrivent Financial | Appleton | WI | 11/2023 | 11/2024 |
| Thrivent Financial | Appleton | WI | 11/2024 | 05/2025 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Jacksonville | FL | 05/2025 | Present |
| Bank Of America, N.A. | Jacksonville | FL | 07/2025 | Present |
I*: 2516286 Entity Type: For Profit Name: CAPRI GROUP INC POSITION: Owner INVESTMENT RELATED: No NUMBER OF HOURS: 1 hr annually HOURS DURING TRADING HOURS: 0 START DATE: 12/08/2011 ADDRESS: Orlando Fl 32835 DUTIES: I own a property and I receive a rental monthly. I own 50% and my wife own the rest 50% I*: 2517264 ENTITY TYPE: For Profit NAME: C. A. & K. R. POSITION: owner INVESTMENT RELATED: No NUMBER OF HOURS: 1 hr annually HOURS DURING TRADING HOURS: 0 START DATE: 07/26/2022 ADDRESS: Orlando FL 32835 DUTIES: Rental property owned in Orlando I*: 2516287 ENTITY TYPE: For Profit NAME: UTOPIA SHOP LLC POSITION: Owner INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/04/2022 ADDRESS: Orlando FL 32835 DUTIES: It was a company created for my daughters in order for them to sell sunglasses in the marketplace. They sell some pieces for the marketplace to cover some expenses. They are 17 years old and the other is 9 years old and they just take the pictures to the sunglasses and put into the marketplaces. I*: 2521297 Entity Type: For Profit Name of OBA: Emporio Optico, C.A Address: San Cristobal, Tachira, Venezuela Investment Related: No Position, Title, Association: Owner Employee Start Date: 6/1/1999 Number of Hours: 0 Number of Hours during trading: 0 Duties: I am the owner of this company from Venezuela and We, in the past used to be an Optical Shop but in this moment has not activity but has Venezuelan bonds that are defaulted but eventually in the future if there is a negitiation I would like to roll over Merrill under my name.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2024-07-08 |
| S65 | Uniform Investment Adviser Law Examination | 2024-06-18 |
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