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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 2000-01-28
FL RA APPROVED 1997-08-25
  • TX RA
    APPROVED_RES
    Since 2000-01-28
  • FL RA
    APPROVED
    Since 1997-08-25

Branch Locations

355 Alhambra Cir, Coral Gables, FL 33134 • 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 Coral Gables FL 08/1997 Present
Bank Of America, N.A. Coral Gables FL 05/2011 Present
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-04-09
S63 Uniform Securities Agent State Law Examination 1987-01-21
  • S65 Uniform Investment Adviser Law Examination
    1999-04-09
  • S63 Uniform Securities Agent State Law Examination
    1987-01-21

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