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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-04-03 |
| TX | RA | APPROVED | 2023-04-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Capital One Investing, Llc | Melville | NY | 08/2016 | 04/2018 |
| Capital One Advisors, Llc | Mclean | VA | 08/2016 | 04/2018 |
| Lpl Financial Llc | Southampton | NY | 04/2018 | 08/2019 |
| Sterling Wealth Services / Lpl | Southampton | NY | 04/2018 | 07/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Southampton | NY | 07/2019 | 04/2023 |
| Bank Of America Corporation / Merrill Lynch | Southampton | NY | 07/2019 | 04/2023 |
| Financial Resources Group Investment Services, Llc | Southampton | NY | 04/2018 | 07/2019 |
| Jpmorgan Chase Bank, N.A. | New York | NY | 04/2023 | Present |
| J.P. Morgan Securities Llc | New York | NY | 04/2023 | Present |
the name of the other business; AIRBNB HOST whether the business is investment-related; NO the address of the other business; 291 Division street, Sag Harbor, NY 11963 the nature of the other business; rental property your position; owner title, or relationship with the other business; owner the start date of your relationship; August 13, 2013 the approximate number of hours/month you devote to the other business; seasonal 3 hrs/month the number of hours you devote to the other business during securities trading hours; 0 and briefly describe your duties relating to the other business; accept bookings, arrange for housecleaning
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-03-20 |
| S63 | Uniform Securities Agent State Law Examination | 2012-10-23 |
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