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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-01-28 |
| CA | RA | APPROVED | 2021-01-19 |
Branch Locations
500 Providence Rd, Floor 01, Charlotte, NC 28207 • United States
17107 Ventura Blvd, Floor 02, Ventura, CA 91316 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa | St. Louis | MO | 10/2015 | 10/2016 |
| Tiaa-Cref Individual & Institutional Services, Llc | St. Louis | MO | 10/2015 | 09/2016 |
| Wells Fargo Advisors | Minneapolis | MN | 10/2016 | 05/2018 |
| Wells Fargo Clearing Services, Llc | Minneapolis | MN | 10/2016 | 05/2018 |
| J.P. Morgan Securities Llc | Scottsdale | AZ | 12/2020 | Present |
| Wells Fargo Advisors | Pasadena | CA | 06/2018 | 12/2020 |
| Wells Fargo Clearing Services, Llc | Pasadena | CA | 06/2018 | 12/2020 |
| Jpmorgan Chase Bank, N.A. | Scottsdale | AZ | 12/2020 | Present |
Entity Name: The 62nd & 65th Regiments Legacy Foundation Investment related: Yes "Address: PO Box 1376, Jefferson City, MO 65102 https://www.62-65rlf.org" Nature of the other business: Nonprofit Position/Title/Relationship: Board Member Start Date: 12/01/2024 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: The mission of the 62nd & 65th Regiments Legacy Foundation is to develop, manage and award funds for scholarships in accordance with donor intent to qualified Lincoln University Students
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-01-07 |
| S63 | Uniform Securities Agent State Law Examination | 2000-05-25 |
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