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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VT | RA | APPROVED | 2024-06-27 |
| TX | RA | APPROVED_RES | 2024-01-24 |
| NJ | RA | APPROVED | 2024-01-22 |
| CT | RA | APPROVED | 2024-01-18 |
| NY | RA | APPROVED | 2024-01-18 |
Branch Locations
925 Westchester Avenue Floor 04, White Plains, NY 10604 • United States
Peru, VT • United States
Katonah, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wachovia Bank, N.A. | New York | NY | 05/2002 | 03/2022 |
| Wells Fargo Advisors Llc | White Plains | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | White Plains | NY | 11/2016 | 03/2022 |
| First Republic Securities Company, Llc | Greenwich | CT | 03/2022 | 09/2023 |
| First Republic Investment Management, Inc. | Greenwich | CT | 03/2022 | 09/2023 |
| J.P. Morgan Securities Llc | West Harrison | CT | 09/2023 | Present |
| Jpmorgan Chase Bank, Na. | West Harrison | NY | 10/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-05-16 |
| S63 | Uniform Securities Agent State Law Examination | 2008-06-02 |
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