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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2024-04-03 |
| NY | RA | APPROVED | 2024-04-03 |
| TX | RA | APPROVED | 2024-04-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Greenwich | CT | 07/2011 | 01/2018 |
| Bank Of America, N.A. | Greenwich | CT | 05/2015 | 01/2018 |
| First Republic Investment Management, Inc. | Greenwich | CT | 01/2018 | Present |
| First Republic Securities Company, Llc | Greenwich | CT | 01/2018 | 10/2023 |
| J.P. Morgan Securities Llc | Riverside | CT | 09/2023 | Present |
| Jpmorgan Chase Bank, N.A. | Riverside | CT | 10/2023 | Present |
Name: Korean K9 Rescue Address: P.O. Box 1092, Long Island City, NY 11101 Investment-related: No Nature of the business: Charity that rescues and re-homes dogs from Korea. Role: Advisory Board Member Start Date: 03/04/2021 Description of duties: Provide general advice and volunteer at events. Number of hours each month: 4 Number of hours during trading: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-02-17 |
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