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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-08-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Insunc | Houston | TX | 05/2016 | 12/2016 |
| Regions Bank | Houston | TX | 12/2016 | 03/2021 |
| Cetera Investment Services Llc | Houston | TX | 01/2017 | 03/2021 |
| Cetera Investment Advisers Llc | Houston | TX | 01/2017 | 03/2021 |
| Bbva Usa | Houston | TX | 04/2021 | 08/2021 |
| Bbva Securities Inc | Houston | TX | 04/2021 | 08/2021 |
| Bbva Insurance Agency Inc | Austin | TX | 04/2021 | 08/2021 |
| Pnc Managed Accountsolutions, Inc. | Houston | TX | 05/2021 | 08/2021 |
| J.P. Morgan Securities Llc | Houston | TX | 08/2021 | Present |
| Jp Morgan Chase Bank, N.A. | Houston | TX | 08/2021 | Present |
| Insync Business Solutions Dba Roots & Resilience | Houston | TX | 04/2024 | 09/2025 |
| Roots & Resilience Llc | Houston | TX | 06/2024 | Present |
Entity Name: Roots & Resilience LLC Investment related: NO Address: Private Residence Nature of the other business: Social & Educational Position/Title/Relationship: Owner/Partner Start Date: 06/17/2024 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Roots & Resilience provides literacy material on social and educational topics using print and digital platforms; also provides cultural programs to empower the community at large.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-09-04 |
| S63 | Uniform Securities Agent State Law Examination | 2004-07-06 |
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