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Current Employers
Clsa Americas, Llc

1155 Avenue Of The Americas 17Th Floor, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-01-29
CA RA APPROVED 2019-01-25
CT RA APPROVED 2019-01-25
  • TX RA
    APPROVED
    Since 2019-01-29
  • CA RA
    APPROVED
    Since 2019-01-25
  • CT RA
    APPROVED
    Since 2019-01-25

Branch Locations

1155 Avenue Of The Americas, 17Th Floor, New York, NY 10036 • 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
Clsa Americas, Llc New York NY 04/2013 Present
Other Businesses

Real Estate Investment-name of the business is AC Aragues Holdings. Privately held company created for property holdings. Position is Partner, 2 hours a week, not during securities trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-01-25
S63 Uniform Securities Agent State Law Examination 2000-10-06
  • S66 Uniform Combined State Law Examination
    2019-01-25
  • S63 Uniform Securities Agent State Law Examination
    2000-10-06

View on SEC IAPD

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