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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2008-03-25 |
| FL | RA | APPROVED | 1987-05-27 |
Branch Locations
100 S Kentucky Ave, Lakeland, FL 33801 • United States
Lakeland, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Winter Haven | FL | 01/1987 | Present |
| Bank Of America, N.A. | Lakeland | FL | 09/2009 | Present |
I*72078 For profit or not for profit: For-Profit Organization Name of outside business organization: 4C Properties LLC Investment related: N Address of business: Babson Park, Florida 33827 Nature of business: LLC, Position, title, association: Other, Manager Start date of relationship: 10/9/2012 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: I am Manager of LLC, formed to own and manage family home in Babson Park, FL; the home is used by family for vacations. Purpose of the LLC is to create an efficient ownership structure including myself, and my 3 siblings, with limited liability.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-05-26 |
| S63 | Uniform Securities Agent State Law Examination | 1987-04-09 |
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