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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-10-06 |
| TX | RA | APPROVED_RES | 2022-10-06 |
Branch Locations
1656 N. California Blvd, Floor 3, Walnut Creek, CA 94596 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fiduciary Trust Company Intl | New York | NY | 10/2009 | 12/2017 |
| Wells Fargo Clearing Services | San Francisco | CA | 12/2017 | 09/2022 |
| Wells Fargo Bank | San Francisco | CA | 12/2017 | 09/2022 |
| Jpmorgan Chase Bank Na | Walnut Creek | CA | 09/2022 | Present |
| Jpmorgan Securities Llc | Walnut Creek | CA | 09/2022 | Present |
RENTAL PROPERTY, INV RELATED, SAN MATEO, CA, 100% OWNER, START: 7/1/2007, 0.1 HOURS PER MONTH/0 DURING TRADING, DUTIES: LANDLORD.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-04-26 |
| S65 | Uniform Investment Adviser Law Examination | 1999-07-20 |
| S63 | Uniform Securities Agent State Law Examination | 1997-01-24 |
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