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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 2012-09-25
FL RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2012-09-25
  • FL RA
    APPROVED
    Since 2009-10-23

Branch Locations

2850 Nw 43Rd St, Gainesville, FL 32606 • 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 Lake City FL 10/2009 Present
Bank Of America, N.A. Gainesville FL 12/2009 Present
Previous Registrations
  • 1998-04-01 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Lake City, FL
    Gainesville, FL
    Gainesville, FL
Other Businesses

I*9512 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: FREGLY FOUNDATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: 901 NW 57TH ST, GAINESVILLE, FLORIDA 32605 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: OFFICER, START DATE OF RELATIONSHIP: 10/15/1999 NUMBER OF HOURS DEVOTED: 10 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: ADVISE THE FOUNDATION ON GRANT REQUEST. ORGANIZE ANNUAL MEETINGS. GENERAL NOTES: 2) GIRLS CLUB FOUNDATION; NOT INV REL; 2101 NV 29TH AVE, GAINESVILLE, FL 32605; CHARITABLE; ADVISOR; SEP 1999; 2 HRS/MO ALL DURING SECS TRADING HRS; SERVE AS AN ADVISOR ON THE BOARD OF DIRECTORS FOR THE FUNDRAISING ARM OF THE LOCAL GIRLS CLUB. I*97013 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: DAVIS & DAVIS PROPERTIES LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: 8454 NW 64TH LN, GAINESVILLE, FLORIDA 32653 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: GENERAL PARTNER, START DATE OF RELATIONSHIP: 4/12/2016 NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: CREATED A LLC WITH A SINGLE PURPOSE TO OWN A RENTAL PROPERTY. I AM THE SOLE MEMBER AND RESPONSIBLE FOR ALL

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-01-16
S63 Uniform Securities Agent State Law Examination 1997-08-26
  • S65 Uniform Investment Adviser Law Examination
    2002-01-16
  • S63 Uniform Securities Agent State Law Examination
    1997-08-26

View on SEC IAPD

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