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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-03-26 |
| TX | RA | APPROVED | 2024-03-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco | CA | 08/2007 | 11/2022 |
| Bank Of America, N.A. | San Francisco | CA | 01/2016 | 11/2022 |
| First Republic Securities Company, Llc | San Francisco | CA | 11/2022 | 09/2023 |
| First Republic Investment Management, Inc. | San Francisco | CA | 11/2022 | Present |
| J.P. Morgan Securities Llc | San Francisco | CA | 09/2023 | Present |
| Jpmorgan Chase Bank, N.A. | San Francisco | CA | 10/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-03-23 |
| S63 | Uniform Securities Agent State Law Examination | 2001-08-30 |
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