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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2000-01-28 |
| FL | RA | APPROVED | 1997-08-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Coral Gables | FL | 08/1997 | Present |
| Bank Of America, N.A. | Coral Gables | FL | 05/2011 | Present |
I*778291 For profit or not for profit: Entity For Profit Name of outside business organization: LCOC Corp. Investment related: Y Address of business: Coral Gables, Florida, 33156 Nature of business: ["Corporation"] Position, title, association: ["Officer"], Start date of relationship: 1/20/2004 Number of hours devoted: 1 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , no I*18368 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: UNIVERSITY OF MIAMI SCHOOL OF LAW INVESTMENT RELATED: Y ADDRESS OF BUSINESS: CORAL GABLES, FLORIDA 33146 NATURE OF BUSINESS: OTHER,SCHOOL POSITION, TITLE, ASSOCIATION: OTHER, INSTRUCTOR START DATE OF RELATIONSHIP: 3/30/2009 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: OTHER I*40402 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: CHIAVACCI FAMILY FOUNDATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: CORAL GABLES, FLORIDA 33156 NATURE OF BUSINESS: OTHER,FAMILY FOUNDATION POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 3/1/2011 NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PART OF A BASIC ESTATE PLAN. I*40406 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: LCOC PARTNERSHIP, LTD INVESTMENT RELATED: Y ADDRESS OF BUSINESS: CORAL GABLES, FLORIDA 33156 NATURE OF BUSINESS: PARTNERSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 3/1/2011 NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PART OF A BASIC ESTATE PLAN. I*18367 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: GRADUATE SCHOOL OF BUSINESS INDIANA UNIVERSITY INVESTMENT RELATED: Y ADDRESS OF BUSINESS: INDIANA, INDIANA 47405 NATURE OF BUSINESS: OTHER,ACADEMIC COURSE POSITION, TITLE, ASSOCIATION: OTHER, I PROVIDE THE FUNDS FOR THE INVESTMENT PORTFOLIO START DATE OF RELATIONSHIP: 38353 NUMBER OF HOURS DEVOTED: 10 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 5 DUTIES: OTHER I*102254 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: STILTSVILLE TRUST INVESTMENT RELATED: N ADDRESS OF BUSINESS: MIAMI, FLORIDA 33131 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 3/1/2017 NUMBER OF HOURS DEVOTED: 1 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THE PURPOSE OF THE ENTITY IS TO WORK TO PRESERVE THE HISTORIC STILTSVILLE COMMUNITY. MY ROLE IS AS A CARETAKER AND BOARD MEMBER.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-04-09 |
| S63 | Uniform Securities Agent State Law Examination | 1987-01-21 |
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