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1290 Avenue Of The Americas, New York, NY 10104 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2022-07-22 |
Branch Locations
1290 Avenue Of The Americas, New York, NY 10104 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | New York | NY | 10/2010 | 04/2020 |
| Jpmorgan Chase Bank | New York | NY | 10/2010 | 04/2020 |
| Neuberger Berman | New York | NY | 04/2022 | Present |
| Csm Capital Corporation | New York | NY | 04/2020 | 04/2022 |
I am a Board Member for Ruth Asawa Lanier, Inc. Ruth is an artist who died in 2013. RAL Inc. was established during Ruth's lifetime to hold her art. Proceeds are now used to support her legacy; dividends are distributed to family member shareholders to cover capital gains taxes. The business is not investment related. The offices are in San Francisco, CA. I joined the board in July 2021. The time commitment is around 1-2 hours a month for board calls during trading hours and none outside of trading hours. Board matters include discussions around exhibitions, sales, licensing, employee issues, etc.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-07-19 |
| S63 | Uniform Securities Agent State Law Examination | 2011-02-14 |
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