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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 | 2021-07-27 |
| CT | RA | APPROVED | 2018-09-21 |
| TX | RA | APPROVED | 2018-09-21 |
Branch Locations
230 Park Avenue, 3Rd Fl [Satellite], New York, NY 10169 • United States
3201 Enterprise Pkwy Suite 400 [Satellite], Beachwood, OH 44122 • 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 |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | New York | NY | 02/2013 | 09/2018 |
| Jpmorgan Chase Bank Na | New York | NY | 02/2013 | 09/2018 |
| Wells Fargo Advisors Financial Network, Llc | New York | NY | 09/2018 | Present |
SPQR CAPITAL LLC; INV RELATED; TUXEDO PARK, NY; 100% OWNERSHIP; START 10/31/2023; 0 HOURS PER MONTH; 0 HOURS DURING TRADING; FINET PRACTICE. CO-TRUSTEE FOR PARENTS FAMILY TRUST; INV. RELATED; WASHINGTONVILLE, NY; START DATE 3/24/2024; 4 HOURS PER MONTH; 0 HOURS DURING BUSINESS HOURS. PRINCETON HARRIMAN INSURANCE SOLUTIONS; INV RELATED; SARASOTA, FL; FINANCIAL ADVISOR; START DATE 12/1/2024; 8 HOURS PER MONTH; 8 DURING TRADING; INSURANCE PRACTICE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-01-10 |
| S63 | Uniform Securities Agent State Law Examination | 2008-06-16 |
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