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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-06 |
| VI | RA | APPROVED | 2020-10-21 |
| TX | RA | APPROVED_RES | 2020-10-16 |
Branch Locations
1211 Avenue Of The Americas Suite 3300, New York, NY 10036 • United States
Purchase, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P Morgan Securities Inc. | New York | NY | 11/2009 | 10/2020 |
| Jpmorgan Chase Bank, N.A. | New York | NY | 10/2010 | 10/2020 |
| Rbc Capital Markets, Llc | New York | NY | 10/2020 | Present |
| City National Bank | New York | NY | 11/2020 | Present |
1) Entity Name: MS Hope for a Cure Investment related: No Address: 2250 New York, NY www.mshopeforacure.org Nature of the other business: Raise money to find a cure for Multiple Sclerosis and to support those individuals and their families living with MS until a cure is found. Position/Title/Relationship: Director Start Date: 26-Jun-2015 Approximate # of hours a month: quarterly meetings Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Chairman of the Board of Directors 2) Name: MS Hope for a cure Address: 2250 Broadway #15D New York, NY 10024Not for Profit Start Date: 02/01/07 Capacity: Board of Directors * Duties Performed: I'm the Chairman of the Board of directors of MS Hope for a Cure and have been a member of the board since inception in 2007. Devoted Time: 1, 0 (3) NAME: She Believed She Could Non-Investment related Nature of OBA: Stage Show showcasing the lives of legendary women in country music Position/Title/Relationship: Executive Producer Start Date: 10/03/22 Time Devoted: 0 DUTIES: none (4) NAME OF ENTITY: 2257L LLC ADDRESS: 12 Stone Bridge Road Purchase, NY 10577 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: 11/10/2024 CAPACITY: Other DUTIES: my husband and I are 100% owners of the LLC HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours (5) NAME OF ENTITY: 281D LLC ADDRESS: 12 Stone Bridge Road Purchase, NY 10577 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: 15/10/2024 CAPACITY: Other DUTIES: my husband and I are 100% owners of the LLC which owns the property HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours (6) NAME OF ENTITY: Maxwell Jewelry Corp ADDRESS: 550 Okeechobee Blvd, West Palm Beach, Florida 33401 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: Aug 13, 2026 CAPACITY: Owner DUTIES: 5% owner assisting son’s bracelet business. HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-01-16 |
| S63 | Uniform Securities Agent State Law Examination | 1998-02-19 |
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