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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-11-20 |
| TX | RA | APPROVED | 2023-11-20 |
Branch Locations
4350 Congress Street Floor 01, Charlotte, NC 28209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Securities, Llc | Charlotte | NC | 04/2011 | 11/2018 |
| Jpmorgan Chase Bank, Na. | Charlotte | NC | 12/2018 | Present |
| J.P. Morgan Securities Llc | Charlotte | NC | 12/2018 | Present |
Entity Name: WARD'S Foundation Investment related: Yes "Address: 1812 Beverly Dr Charlotte, NC 28207" Nature of the other business: Non-profit Position/Title/Relationship: I am co-founding a 501(c)3 organization with my wife focused on Support for Families with Rare Diseases. I will be serving on the Board and will be Treasurer of the organization and responsible for the finance Start Date: 02/12/2021 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Co-founder
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-11-20 |
| S63 | Uniform Securities Agent State Law Examination | 2007-10-05 |
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