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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2022-04-26 |
| NY | RA | APPROVED | 2021-04-19 |
| CT | RA | APPROVED | 2015-10-13 |
| KY | RA | APPROVED | 2015-10-12 |
| TX | RA | APPROVED_RES | 2015-09-29 |
Branch Locations
225 Liberty St, New York, NY 10281 • United States
Key West, FL • United States
3200 Flagler Ave, Key West, FL 33040 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 09/2015 | Present |
| Bank Of America, N.A. | New York | NY | 12/2015 | Present |
AGENT IS CO-OWNER OF CONVENIENT FOOD MART #53, LOUISVILLE, KY THERE ARE NO BUSINESS DEALINGS DURING REGULAR WORKING HOURS. I*2736265, Entity Type: , Name of OBA: C S (my mother), Address: Louisville, Kentucky, 40216, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 07/22/2025, No Hours: 4 Yearly, No Hours during Trading: 0 Yearly, Duties: I*2947280, Entity Type: , Name of OBA: J P S JR EXEC EST OF C L S, Address: Louisville, Kentucky, 40216, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 07/01/2025, No Hours: 2 Weekly, No Hours during Trading: 0 Weekly, Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-04-05 |
| S65 | Uniform Investment Adviser Law Examination | 1999-12-29 |
| S63 | Uniform Securities Agent State Law Examination | 1987-04-02 |
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