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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-06-12 |
Branch Locations
2101 Broadway, New York, NY 10023 • United States
767 5Th Ave 33Rd Fl [Y5-Rbo], New York, NY 10153 • United States
2415 Broadway, New York, NY 10024 • United States
2275 Broadway, New York, NY 10024 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup | Ny | NY | 05/2014 | 02/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 02/2020 | 04/2020 |
| Bank Of America, N.A. | New York | NY | 04/2020 | 03/2023 |
| Wells Fargo Clearing Services, Llc ( | New York | NY | 06/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-04-06 |
| S63 | Uniform Securities Agent State Law Examination | 2008-01-15 |
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