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125 High Street Oliver Street Tower, 21St Floor, Boston, MA 02110 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2023-05-15 |
| IL | RA | APPROVED | 2023-05-09 |
Branch Locations
Chesterfield, MO • United States
125 High Street Oliver Street Tower, 21St Floor, Boston, MA 02110 • United States
Bayside, NY • United States
1001 Liberty Avenue, Pittsburgh, PA 15222-3779 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2023-05-09 |
| PA | RA | APPROVED | 2023-05-09 |
Branch Locations
Chesterfield, MO • United States
1001 Liberty Avenue, Pittsburgh, PA 15222-3779 • United States
Bayside, NY • United States
1001 Liberty Avenue, Pittsburgh, PA 15222-3779 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2023-05-09 |
| PA | RA | APPROVED | 2023-05-09 |
Branch Locations
Chesterfield, MO • United States
1001 Liberty Avenue, Pittsburgh, PA 15222-3779 • United States
Bayside, NY • United States
101 Park Avenue Suite 4100, New York, NY 10178-0002 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2023-05-09 |
| NY | RA | APPROVED | 2023-05-09 |
Branch Locations
Chesterfield, MO • United States
101 Park Avenue Suite 4100, New York, NY 10178-0002 • United States
Bayside, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Legg Mason Investor Services Llc | Stamford | CT | 07/2014 | 10/2020 |
| Legg Mason & Co | Stamford | CT | 07/2014 | 10/2020 |
| Fidelity Investments | New York | NY | 12/2020 | 01/2022 |
| Voya Investment Distributor, Llc | Windsor | CT | 04/2022 | 04/2023 |
| Voya Investment Management | Bayside | NY | 04/2022 | 04/2023 |
| Voya Investment Management Co. Llc | New York | NY | 04/2022 | 04/2023 |
| Federated Hermes, Inc. | Pittsburgh | PA | 05/2023 | Present |
| Federated Securities Corp. | Pittsburgh | PA | 05/2023 | Present |
| Federated Investment Counseling | Pittsburgh | PA | 05/2023 | Present |
| Mdt Advisers, A Division Of Federated Mdta Llc | Boston | MA | 05/2023 | Present |
| Federated Global Investment Management Corp. | New York | NY | 05/2023 | Present |
FROM 8/2017 TO PRESENT, LANDLORD AT 3190 FAIRMOUNT AVE., BRONX, NY 10463. DUTIES ARE NOT INVESTMENT RELATED AND ARE NOT PERFORMED DURING TRADING HOURS. TIME SPENT IS APPROXIMATELY 1 HOUR PER MONTH. FROM 3/2023 TO PRESENT, LANDLORD AT 174 U ST. NE, WASHINGTON DC 20002. DUTIES ARE NOT INVESTMENT RELATED AND ARE NOT PERFORMED DURING TRADING HOURS. TIME SPENT IS APPROXIMATELY 1 HOUR PER MONTH.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-12-01 |
| S63 | Uniform Securities Agent State Law Examination | 2007-05-03 |
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