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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2022-04-21 |
| OK | RA | APPROVED | 2020-03-16 |
| LA | RA | APPROVED | 2020-03-13 |
| FL | RA | APPROVED | 2019-02-06 |
| GA | RA | APPROVED | 2018-05-16 |
| TX | RA | APPROVED | 2018-05-11 |
Branch Locations
3424 Peachtree Rd Ne Floor 06, Atlanta, GA 30326 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Atlanta | GA | 05/1990 | 05/2018 |
| Bank Of America, N.A. | Atlanta | GA | 05/1990 | 05/2018 |
| Jp Morgan Chase Bank, N.A. | Atlanta | GA | 05/2018 | 07/2025 |
| J.P. Morgan Securities Llc | Atlanta | GA | 05/2018 | Present |
Entity Name: Georgia State University Foundation Board Investment related: Yes "Address: Georgia State University Foundation P.O. Box 2668 Atlanta, GA 30301-2668 https://netcommunity.gsu.edu/intranet-home" Nature of the other business: Foundation Position/Title/Relationship: Board Member Start Date: 01/02/2023 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Supports GSU in achieving its mission through the identification, cultivation, solicitation and stewardship of gifts, and by collaborating and advising on activities for the benefit of the university. Not similar to my role and no JPMC connection. Requesting to serve on the Investment Committee. Entity Name: Fox Theatre Investment related: Yes "Address: 660 Peachtree St Atlanta, GA 30308 https://www.foxtheatre.org/" Nature of the other business: Performing Arts Position/Title/Relationship: Board Member Start Date: 01/02/2023 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Historic Theatre/ Performing Arts venue. Committee Service to include Finance and Investment Committee. not similar to my role at JPMC and no connection to JPMC. Currently approved to serve on the Board. Requesting approval to serve as a member of the Finance and Investment committee. Entity Name: Fox Theatre, Inc. Investment related: Y Address: 660 Peachtree St NE Atlanta, GA 30308 Nature of the other business: Arts/Theatre organization Position/Title/Relationship: Member of the Board of Directors Start Date: 01/11/2021 "Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 during trading Briefly describe your duties: Duties of Board members include providing strategic advisory and operational support to the leadership and staff of the Fox Theatre. The mission of the Board is to protect and preserve the historic theatre and to be an ambassador for the organization in the community. ACTIVITY TYPE: 4 - OUTSIDE BUSINESS ACTIVITY WITH A NOT-FOR-PROFIT ORGANIZATION NAME OF ENTITY: GEORGIA STATE UNIVERSITY- J. MACK ROBINSON COLLEGE OF BUSINESS POSITION: ADVISORY BOARD CHAIRMAN START DATE: 7/1/2019 ADDRESS: 35 Atlanta, GA DETAILS: 2 YEAR TERM. PROVIDE SUPPORT TO THE GEORGIA STATE UNIVERSITY ROBINSON COLLEGE OF BUSINESS THROUGH ADVOCACY, COUNSEL, STRATEGIC SUPPORT, MENTORING, STUDENT ENGAGEMENT AND FINANCIAL GIVING. INVESTMENT RELATED: HOURS DEDICATED (per month unless otherwise indicated): 2 BOARD MEETINGS PER YEAR, QUARTERLY EVENTS (DURING NON-TRADING HOURS) HOURS DURING TRADING: 16 HOURS ANNUALLY
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-07-31 |
| S63 | Uniform Securities Agent State Law Examination | 2001-03-21 |
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