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1 Rockefeller Plaza 7Th Floor, New York, NY 10020 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-08-10 |
| CT | RA | APPROVED | 2026-08-10 |
| NY | RA | APPROVED | 2026-08-10 |
| SC | RA | APPROVED | 2026-08-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Republic Securities Co | New York | NY | 01/2006 | 06/2021 |
| Ingalls & Snyder Llc | New York | NY | 06/2021 | Present |
| Ingalls Investment Management, Llc | New York | NY | 08/2026 | Present |
(1) I am a registered representative of First Republic Securities Company, LLC, an SEC and FINRA registered broker-dealer. I am an associated person of First Republic Investment Management, Inc. (Firm CRD# 108559), an SEC registered investment adviser. The majority of my time is devoted to activities for First Republic Investment Management, Inc. Both First Republic Securities Company, LLC and First Republic Investment Management, Inc. are under 'common control' of First Republic Bank. (2) Managing Director at Trainer Wortham, a subsidiary of First Republic Bank, which is also the Parent Company of First Republic Securities Company, LLC.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-07-14 |
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