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10 E. 53Rd Street Suite 1400, New York, NY 10022 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-04-01 |
| NY | RA | APPROVED | 2024-05-21 |
Branch Locations
10 E. 53Rd Street Suite 1400, New York, NY 10022 • United States
10 E. 53Rd Street Suite 1400, New York, NY 10022 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-01-09 |
| NY | RA | APPROVED | 2023-05-22 |
Branch Locations
10 E. 53Rd Street Suite 1400, New York, NY 10022 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jp Morgan Securities Llc | Los Angeles | CA | 05/2011 | 04/2018 |
| Jpmorgan Chase Bank Na | Los Angeles | CA | 05/2011 | 04/2018 |
| Alex Brown / Raymond James | Ney York | NY | 04/2018 | 06/2023 |
| Quantum Portfolio Management, Llc | New York | NY | 02/2023 | Present |
| Raymond James & Associates, Inc. | New York | NY | 04/2018 | 06/2023 |
| Index Technologies Group, Llc | New York | NY | 09/2023 | Present |
| Ashton Thomas Securities Llc | New York | NY | 05/2024 | 06/2025 |
| Arax Investment Partners | New York | NY | 10/2024 | Present |
1. Index Technologies Group, LLC, address same as office address. Investment-related, Title same as Quantum, Start Date: 09/2023, Spend 50% of time. 2. Azusa Pacific Unversity, Not investment-related, 901 Alosta Avenue, Azusa, CA 91702, Education/University, Position: Advisor of business council/advise business school. Start-1/1/24. 3 or less hours worked per month. 0 hours during securities trading hours. 3. California Polytechnic State University, Not investment-related, 1 Grand Avenue, San Luis Obispo, CA 93407. Education/University, Position: Advisor on business council/advise business school. Start-9/15/23, 3 or less hours worked per month. 0 hours during securities trading hours. 4. Quantum Portfolio Management, LLC, address same as office address. Investment-related, Title Managing Partner, Start Date: 02/2023, Spend 50% of time. 5. Arax Investment Partners, address same as office address. Investment-related. Nature of business: Financial Services, Title: Chief Investment Strategist, Start date: 10/2024, 5-10 hours spent per month all during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-05-17 |
| S63 | Uniform Securities Agent State Law Examination | 2001-05-10 |
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