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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2024-03-28 |
| TX | RA | APPROVED | 2024-03-27 |
Branch Locations
451 Florida St Floor 6, Suite 625, Baton Rouge, LA 70801 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Scotia Capital (Usa) Inc. | New Orleans | LA | 06/2017 | 08/2019 |
| Stonehenge Capital Company | Baton Rouge | LA | 06/2016 | 06/2017 |
| Scotia Capital (Usa) Inc. | Houston | TX | 09/2019 | 11/2020 |
| Jpmorgan Chase Bank Na | Baton Rouge | LA | 04/2021 | Present |
| Jpmorgan Securities Llc | Baton Rouge | LA | 04/2021 | Present |
| Unemployed | Houston | TX | 12/2020 | 04/2021 |
Entity Name: GaitWay Therapeutic Horsemanship Investment related: No Address: 1300 Lawrence Parkway St. Gabriel, LA 70776 Nature of the other business: Nonprofit Position/Title/Relationship: Board Member Start Date: 02/01/2023 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: I am the treasurer for GaitWay beginning in 2024. We do not have any investment accounts. I do not have any say in the financial providers we use. Entity Name: The Emerge Foundation Investment related: No Address:Baton Rouge, LA 70820 Nature of the other business: Nonprofit Position/Title/Relationship: Board Member Start Date: 03/06/2023 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: The board of directors will meet six times per year to help raise money for the Foundation.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-03-27 |
| S63 | Uniform Securities Agent State Law Examination | 2013-08-23 |
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