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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-04-02 |
| NY | RA | APPROVED | 2024-09-20 |
Branch Locations
1174 Veterans Memorial Hwy, Hauppauge, NY 11788 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Great Neck | NY | 06/2009 | 08/2021 |
| Bank Of America, N.A. | Great Neck | NY | 06/2009 | 08/2021 |
| J.P. Morgan Securities Llc | Massapequa | NY | 08/2021 | 09/2024 |
| J.P. Morgan Chase Bank, N.A. | Massapequa | NY | 08/2021 | 09/2024 |
| Ameriprise Financial Services Llc | Hauppauge | NY | 09/2024 | Present |
Outside Employment; Certainty of Uncertainty LLC; Employee of legal entity; Manage advisory business; 1174 Veterans Memorial Highway, , Hauppauge, NY, 11788; Investment-Related; 09/27/2024; 60 hours per month; 40 to 59 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-10-27 |
| S63 | Uniform Securities Agent State Law Examination | 2002-10-23 |
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