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One Post Office Square, Boston, MA 02109 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2023-12-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nuveen Investments | Chicago | IL | 02/2010 | 08/2020 |
| Nuveen Asset Management, Llc | Chicago | IL | 09/2011 | 08/2020 |
| New York Life | Novato | CA | 10/2020 | 09/2021 |
| Griffin Capital Securities, Llc | Phoenix | AZ | 09/2021 | 10/2022 |
| Harbor Funds Distributors, Inc. | Chicago | IL | 10/2022 | 08/2023 |
| Harbor Capital Advisors, Inc. | Chicago | IL | 10/2022 | 08/2023 |
| Eaton Vance Distributors, Inc. | Paso Robles | CA | 09/2023 | Present |
| Eaton Vance Management | Boston | MA | 09/2023 | Present |
Stanley Garden Art & Supply; 8320 Old State Road, Wofford Heights CA 93285; not investment-related; Garden Art & Supply / financial interest family; 2 hours per month not during normal business hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-10-04 |
| S63 | Uniform Securities Agent State Law Examination | 1996-09-20 |
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