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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-09-24 |
| AZ | RA | APPROVED | 2019-04-18 |
| TX | RA | APPROVED | 2019-04-18 |
Branch Locations
150 W. University 4Th Floor, Tempe, AZ 85281 • United States
3 Park Plaza, Floor 3, Irvine, CA 92614 • United States
150 University 4Th Floor, Tempe, AZ 85281 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Phoenix | AZ | 02/2014 | 03/2019 |
| Schwab Private Client Investment Advisory, Inc. | Phoenix | AZ | 02/2014 | 03/2019 |
| J.P Morgan Securities Llc | Tempe | AZ | 03/2019 | Present |
| Jp Morgan Chase Bank, N.A. | Tempe | AZ | 03/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-11-17 |
| S63 | Uniform Securities Agent State Law Examination | 2002-06-01 |
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