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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-06-07 |
| TX | RA | APPROVED_RES | 2013-06-19 |
| FL | RA | APPROVED | 2009-10-23 |
Branch Locations
1819 Main St, Sarasota, FL 34236 • United States
Sapphire, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Sarasota | FL | 10/2009 | Present |
| Bank Of America,N.A. | Sarasota | FL | 06/2011 | Present |
I*125036 For profit or not for profit: For-Profit Organization Name of outside business organization: Bald Rock Water and POA Investment related: N Address of business: SAPPHIRE, North Carolina 28774 Nature of business: Other,POA Position, title, association: Advisory Board Member, Start date of relationship: 7/22/2019 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Help make decisions on the betterment of our neighborhood
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-03-14 |
| S63 | Uniform Securities Agent State Law Examination | 1988-04-19 |
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