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880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-04-24 |
| NY | RA | APPROVED | 2021-06-14 |
| CT | RA | APPROVED | 2016-10-04 |
Branch Locations
320 Park Avenue Fl 14, New York, NY 10022 • United States
401 Franklin Avenue Suite 320, Garden City, NY 11530 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Deutsche Bank Securities Inc. | New York | NY | 01/2001 | 09/2016 |
| Raymond James & Associates, Inc. | New York | NY | 09/2016 | Present |
(1) Name of Business: Address: 14 Claydon Rd, Garden CIty, NY, 11530, United States Activity Type: Control Person Position/Title: Trustee (Acting) Investment Related: Yes Start Date: 05/12/2009 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Trustee/Successor Trustee. I am the trustee of my son's trust. My responsibility is to maintain the trust by holding a life insurance policy in the trust and to provide supplemental income for my son. (2) Name of Business: Duffy Address: 320 Park Ave, New York, NY, 10022, United States Activity Type: Control Person Position/Title: Power of Attorney (Acting) Investment Related: Yes Start Date: 08/12/2022 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: my son asked me to have full power of attorney of his account that has been converted from a UTMA to an individual. Source of funds of the account is derived from my employment. (3) Name of Business: New York Address: Claydon, Garden City, NY, 11530, United States Activity Type: Control Person Position/Title: Guardian (Acting) Investment Related: Yes Start Date: 11/24/2020 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Guardian: . I became my son's guardian, official date11/24/2020 and make decisions for his well being. (4) Name of Business: Ocean Landings Resort Address: 900 N Atlantic, Cocoa Beach, FL, 32931, United States Activity Type: Rental Real Estate Position/Title: Investment Related: Yes Start Date: 01/19/2015 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-06-23 |
| S63 | Uniform Securities Agent State Law Examination | 1987-01-28 |
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