Best Investors
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Account
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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-11-27 |
| CT | RA | APPROVED | 2023-11-20 |
Branch Locations
160 Federal Street, Boston, MA 02110 • United States
Natick, MA • United States
50 Rowes Wharf 4Th Floor, Boston, MA 02110 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Shepherd Kaplan Llc | Boston | MA | 06/2005 | 05/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Boston | MA | 05/2017 | 04/2018 |
| Bank Of America, N.A. | Boston | MA | 09/2017 | 04/2018 |
| First Republic Investment Management, Inc. | Boston | MA | 04/2018 | Present |
| First Republic Securities Company, Llc | Boston | MA | 04/2018 | 10/2023 |
| J.P. Morgan Securities Llc | Boston | MA | 09/2023 | Present |
| Jpmorgan Chase Bank, N.A. | Boston | MA | 10/2023 | Present |
NAME OF OUTSIDE BUSINESS ORGANIZATION: ROUSSEAU FAMILY LLC INVESTMENT RELATED: Y ADDRESS OF BUSINESS: JUPITER, FLORIDA 33458 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 12/1/2017 NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THE ENTITY IS INTENDED FOR FAMILY INVESTMENT IN LIQUID SECURITIES. MY ROLE IS AS A MEMBER OF THE LLC WITH NO DISCRETION OR MANAGEMENT AUTHORITY. Name: Broadway's Best LLC Address: Westerly, RI 02891 Investment-related: No Nature of the business: Real Estate Role: Member and Manager Start Date: 01/20/2022 Description of duties: N/A Number of hours each month: 0 Number of hours during trading: 0
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2017-06-28 |
| S65 | Uniform Investment Adviser Law Examination | 2007-01-29 |
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