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333 S. Wabash Avenue 34Th Floor, Chicago, IL 60604 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-04-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jpmsi | Houston | TX | 10/2008 | 01/2017 |
| Sanford C. Bernstein & Co., Llc | Houston | TX | 01/2017 | 08/2019 |
| Texas Capital Bank | Dallas | TX | 08/2019 | 03/2026 |
| Northern Trust Company | Houston | TX | 04/2026 | Present |
| Northern Trust Securities, Inc. | Houston | TX | 04/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-05-05 |
| S63 | Uniform Securities Agent State Law Examination | 1997-12-12 |
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