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401 Pennsylvania Pkwy Suite 100, Indianapolis, IN 46280 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2023-02-17 |
Branch Locations
401 Pennsylvania Pkwy Suite 100, Indianapolis, IN 46280 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | Indianapolis | IN | 09/2010 | 04/2020 |
| J.P. Morgan Chase Bank, Na | Indianapolis | IN | 11/2016 | 04/2020 |
| Stifel Nicolaus & Co., Inc. | Indianapolis | IN | 04/2020 | 02/2023 |
| Sapient Capital Llc | Indianapolis | IN | 02/2023 | Present |
1. Jewish Federation of Greater Indianapolis; 6705 Hoover Rd, Indianapolis, IN 46260; Hub of the state's many diverse Jewish communities; Board Member; 06/01/2022; 2 Hours per Month; Not During Securities Trading Hours; Not Investment-Related. 2. Indianapolis Jewish Community Relations Council; 6705 N Hoover Rd, Indianapolis, IN 46260; Since 1942, the JCRC has been the public affairs and community relations arm of the organized Jewish community of Indianapolis; President of the Board of Directors; Lead a board of leaders overseeing the programs, initiatives, and execute of the mission; 06/01/2022; 2 Hours per Week; Not During Securities Trading Hours; Not Investment-Related. 3. John Boner Neighborhood Centers; 2236 East 10th Street, Indianapolis, IN 46201; Community Center focused on Adult and Youth education, Housing and Rental assistance, community and economic development, health; Treasurer of the Board of Directors; Oversee Finance Committee, report on budgeting and finance; 01/02/2023; 2 Hours per Month; Not During Security Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-01-21 |
| S63 | Uniform Securities Agent State Law Examination | 2001-01-16 |
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