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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-07-10 |
| TX | RA | APPROVED_RES | 2024-03-28 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jp Morgan Securities Llc | New York | NY | 03/2016 | 09/2021 |
| Jp Morgan Chase Bank Na | New York | NY | 03/2016 | 09/2021 |
| 445 Rhode Island Llc | Buffalo | NY | 02/2020 | Present |
| 549 W Utica Llc | Buffalo | NY | 02/2020 | Present |
| Jpmorgan Chase Bank Na | Miami | FL | 10/2021 | Present |
| Jpmorgan Securities Llc | Miami | FL | 10/2021 | Present |
Entity Name: 445 Rhode Island LLC Investment related: Yes Address: Buffalo, New York Nature of the other business: Passive real estate investor Position/Title/Relationship: Owner/Partner Start Date: 01-Feb-2020 Approximate # of hours a month: 0 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: I will be a passive minority owner. Entity Name: 549 W Utica LLC Investment related: Yes Address: Buffalo, New York Nature of the other business: Passive real estate investor Position/Title/Relationship: Owner/Partner Start Date: 01-Feb-2020 Approximate # of hours a month: 0 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: I will be a passive minority owner.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-03-28 |
| S63 | Uniform Securities Agent State Law Examination | 2016-03-28 |
| S66 | Uniform Combined State Law Examination | 2001-03-06 |
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