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66 Husdson Boulevard East, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2024-12-11 |
| NY | RA | APPROVED | 2024-12-10 |
Branch Locations
West Harrison, NY • United States
445 North Bedford Drive 3Rd Floor, Beverly Hills, CA 90210 • United States
66 Hudson Boulevard 29Th Floor, New York, NY 10001 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jp Morgan Securities Inc | New York | NY | 12/2005 | 11/2016 |
| J.P. Morgan Chase Bank, Na | New York | NY | 11/2016 | 03/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 07/2019 | 12/2024 |
| Aw Jones | New York | NY | 03/2018 | 06/2019 |
| Bank Of America, Na | New York | NY | 07/2019 | 12/2024 |
| Hsbc Bank Usa National Association | New York | NY | 12/2024 | Present |
| Hsbc Securities (Usa) Inc. | New York | NY | 12/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-08-24 |
| S63 | Uniform Securities Agent State Law Examination | 2002-03-04 |
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