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2300 North Ridgetop Road, Santa Fe, NM 87506 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2024-09-06 |
| NM | RA | APPROVED | 2024-01-29 |
Branch Locations
2300 North Ridgetop Road, Santa Fe, NM 87506 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| John Hancock Funds, Llc | Boston | MA | 04/2007 | 09/2017 |
| John Hancock Advisors, Llc | Boston | MA | 05/2007 | 09/2017 |
| Mfc Global, Us | Boston | MA | 05/2007 | 09/2017 |
| Transamerica Capital Inc. | Denver | CO | 10/2018 | 04/2021 |
| Unemployed | Wilton | CT | 10/2017 | 09/2018 |
| Lazard Asset Management Securities Llc | New York | NY | 04/2021 | 01/2023 |
| Lazard Asset Management Llc | New York | NY | 04/2021 | 01/2023 |
| Thornburg Securities Llc | Santa Fe | NM | 03/2023 | 12/2024 |
| Thornburg Investment Management | Santa Fe | NM | 01/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-11-17 |
| S63 | Uniform Securities Agent State Law Examination | 2001-12-03 |
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