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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 1995-01-04
FL RA APPROVED 1993-05-11
  • TX RA
    APPROVED_RES
    Since 1995-01-04
  • FL RA
    APPROVED
    Since 1993-05-11

Branch Locations

50 N Laura St, Jacksonville, FL 32202 • 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 Jacksonville FL 01/1993 Present
Bank Of America, Na Jacksonville FL 12/2009 Present
Other Businesses

I*1474263, Entity Type: Entity For Profit, Name of OBA: CPCH Aviation, Address: Jacksonville, Fl 32210, Investment Related: No, Position, Title, Association: General Partner/Managing Member, Employee Start Date: 08/01/2023, No Hours: 0, No Hours during trading: 0, Duties: The entity will own an airplaneI*34022FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: CPCH PROPERTIES, LLCINVESTMENT RELATED: NADDRESS OF BUSINESS:JACKSONVILLE, FLORIDA 32210 POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 10/9/2006 HOURS DEVOTED: 20 HRS MTHLY HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MANAGERI*83398For profit or not for profit: Non-Profit Organization Name of outside business organization: Community Foundation Hospice Investment related: No Address: Jacksonville, Florida 32257 Position, title, association: Advisory Board Member, Start date of relationship: 6/1/2015 Number of hours devoted: 15 hrs Annually Number of hours devoted during trading hours: 4 hrs annually Duties: Finance committee, fundraisingI*122743For profit or not for profit: For-Profit Organization Name of outside business organization: cpch athens Investment related: No Address: Athens, Georgia 30605 Position, title, association: Family Held, Start date of relationship: 4/20/2012 Hours devoted: 4 hrs Mthly Hours devoted during trading hours: 0 Duties: It's an entity that holds my home in Athens. I*3252271 Entity Type: Entity Charitable Name of OBA: St. Marks Episcopal Church Foundation Board Address: Jacksonville, Florida, 32210 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 12/15/2025 Number of Hours: 10, Yearly Number of Hours during trading: 0, Yearly Duties: awareness of the church and community engagement steward awareness of the church

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-10-01
S63 Uniform Securities Agent State Law Examination 1993-05-06
  • S65 Uniform Investment Adviser Law Examination
    1996-10-01
  • S63 Uniform Securities Agent State Law Examination
    1993-05-06

View on SEC IAPD

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