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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-11-27 |
| CA | RA | APPROVED | 2023-11-22 |
Branch Locations
Angels Camp, CA • United States
San Carlos, CA • United States
560 Mission Street, San Francisco, CA 94105 • United States
2100 El Camino Real, Palo Alto, CA 94306 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Menlo Park | CA | 11/2006 | 08/2022 |
| Bank Of America,N.A. | Palo Alto | CA | 06/2011 | 08/2022 |
| First Republic Securities Company, Llc | Palo Alto | CA | 08/2022 | 10/2023 |
| First Republic Investment Management, Inc. | Palo Alto | CA | 08/2022 | Present |
| J.P. Morgan Securities Llc | Palo Alto | CA | 09/2023 | Present |
| Jpmorgan Chase Bank, N.A. | Palo Alto | CA | 10/2023 | Present |
| Shopsense | Redwood City | CA | 08/2024 | Present |
Entity Name: ShopSense Investment related: No "Address: 50 Woodside Plaza, Suite 809 Redwood City, CA 94061 website: shopsense.ai" Nature of the other business: Technology Position/Title/Relationship: Owner/Partner Start Date: 08/06/2024 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 "Briefly describe your duties: ShopSense is developing technology that will enable shopping experiences during broadcast or streaming events. I have no responsibilities and will not be performing any work related to my JPMC role. I am not aware of any connection to JPMC at this time. My husband and I are simply making a private investment in a company that was founded by our neighbor/friend, Glenn Fishback." Name of outside business organization: The Boys & Girls Clubs of the Peninsula Investment related: No Address of business: 401 Pierce Road, Menlo Park, CA 94025 Nature of business: Charitable Organization, Position |Title: Endowment Committee Member, Start date of relationship: 7/1/2019 Number of hours devoted: 8 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Member, Endowment Committee, advises and makes recommendations to the Board
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-01-03 |
| S63 | Uniform Securities Agent State Law Examination | 2001-11-14 |
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