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1 Rockefeller Plaza 7Th Floor, New York, NY 10020 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2026-08-10 |
| CA | RA | APPROVED | 2026-08-10 |
| CO | RA | APPROVED | 2026-08-10 |
| CT | RA | APPROVED | 2026-08-10 |
| FL | RA | APPROVED | 2026-08-10 |
| GA | RA | APPROVED | 2026-08-10 |
| IN | RA | APPROVED | 2026-08-10 |
| MD | RA | APPROVED | 2026-08-10 |
| MA | RA | APPROVED | 2026-08-10 |
| NJ | RA | APPROVED | 2026-08-10 |
| NM | RA | APPROVED | 2026-08-10 |
| NY | RA | APPROVED | 2026-08-10 |
| NC | RA | APPROVED | 2026-08-10 |
| OR | RA | APPROVED | 2026-08-10 |
| PA | RA | APPROVED | 2026-08-10 |
| RI | RA | APPROVED | 2026-08-10 |
| SC | RA | APPROVED | 2026-08-10 |
| TX | RA | APPROVED_RES | 2026-08-10 |
| VT | RA | APPROVED | 2026-08-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Republic Investment Management | Boca Grande | FL | 01/1999 | 06/2023 |
| Jpmorgan Wealth Management | Boca Grande | FL | 07/2023 | 01/2024 |
| Ingalls & Snyder | Boca Grande | FL | 01/2024 | Present |
| Ingalls Investment Management, Llc | New York | NY | 08/2026 | Present |
1) Name: Sound Shore Mutual Fund Address: 3 Canal Plaza, Ste. 600, Portland, ME 04101 Investment-related: No Role: Independent Director Start: November 2013 Duties: Act in the capacity of Trustee Number of hours each month: 8 hours per year Number of hours during trading: 1 hour 2) Name: Blanc Fund Address: Winston Salem, North Carolina Investment-related: No Nature of the business: non-profit organization Role: Secretary Start Date: January 1998 Description of duties: duties related to role of Secretary Number of hours each month: 1 hour Number of hours during trading: 1 hour 3) Name: Boca Grande Fire Department Pension Board Address: Boca Grande, Florida Investment-related: No Role: Board Officer Start Date: January, 2000 Description of duties: charitable work on a quarterly basis Number of hours each month: 4 hours per year Number of hours during trading: 2 hours a year 4) Name: Culpeper Foundation Address: New Hyde Park, New York Investment-related: No Nature of the business: non-profit organization Role: President Start Date: January, 2007 Description of duties: charitable work on a semi-annual basis Number of hours each month: 4 hours per year Number of hours during trading: 2 hours per year 5) Name: Louis Hauss Miller Foundation Address: New York, New York Investment-related: No Nature of the business: non-profit organization Role: Director Start Date: January, 2016 Description of duties: perform charitable work annually Number of hours each month: 1 hour per year Number of hours during trading: 1 hour per year 6) Name: Margot Marsh Foundation Address: New York, New York Investment-related: No Nature of the business: non-profit organization Role: Director and Vice President Start Date: January, 1996 Description of duties: perform charitiable work semi-annually Number of hours each month: 8 hours per year Number of hours during trading: 6 hours per year 7) Name: Adler Family Foundation Address: Savannah, Georgia Investment-related: No Nature of the business: charitable foundation Role: Director Start Date: January, 1999 Number of hours each month: 1 hour per year Number of hours during trading: 1 hour per year 8) Wealth Manager acting as a Trustee for multiple accounts; Address: Investment-related: No Nature of the business: Trusts Role: Trustee and duties are fiduciary related Start Date: 12/11/2017 Number of hours each month: Varies Number of hours during trading: Varies 9) Name: Boca Grande Health Clinic Foundation Address: 320 Park Ave, Boca Grande, FL 33921 Investment-related: No Nature of the business: Health Clinic Role: Investment Committee Member Start Date: 08/05/2020 Description of duties: Chair Investment Committee Number of hours each month: 1 Number of hours during trading: 0 10) Name: Boca Grande Parking Panel Address: Boca Grande FL Investment-related: No Nature of the business: Panel deals with parking issues in Boca Grande...make best decisions for Boca Grande Role: Board Member Start Date: 12/31/2021 Number of hours each month: 1 Number of hours during trading: 0
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1992-06-18 |
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