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Baltimore, MD • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2022-02-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Legg Mason | Baltimore | MD | 02/2000 | 07/2019 |
| Towson Tax & Consutling | Towson | MD | 01/2020 | 05/2022 |
| Columbia Threadneedle Luxembourg Funds | Luxembourg | 04/2021 | Present | |
| Franklin Templeton Irish Funds | Dublin | 07/2019 | Present | |
| Larocque Financial Group, Llc | Baltimore | MD | 12/2021 | Present |
| Franklin Templeton Luxembourg Funds | Luxembourg | 11/2022 | Present | |
| Lighthouse Tax Advisors | Baltimore | MD | 05/2022 | Present |
| Columbia Threadneedle Uk Funds | London | 06/2024 | Present | |
| Lincoln Funds Trust | Radnor | PA | 05/2024 | Present |
| Lincoln Bain Capital Total Credit Fund | Radnor | PA | 09/2025 | Present |
| Lincoln Partners Group Royalty Fund | Radnor | PA | 09/2025 | Present |
I am a Independent Director/Trustee of Mutual Fund Families for Columbia Threadneedle in the UK and Luxembourg; for Franklin Templeton in Luxembourg and Ireland (also the Board Chair) and; for Lincoln Financial Group in the US (also the Audit Committee Chair). All of this work deals with the oversight an governance of mutual funds located in each of the noted jurisdiction's. I spend approximately 40 hours a month on these other investment related businesses.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-01-14 |
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