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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-04-07 |
| NY | RA | APPROVED | 2022-02-23 |
| RI | RA | APPROVED | 2020-12-02 |
Branch Locations
1000 Division St Unit 4, East Greenwich, RI 02818 • United States
143 Franklin St, Westerly, RI 02891 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cco Investment Services | Providence | RI | 06/2012 | 12/2016 |
| Santander Bank, Na | Wakefield | RI | 12/2016 | 09/2019 |
| Santander Securities, Llc | Wakefield | RI | 12/2016 | 09/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Providence | RI | 09/2019 | 11/2020 |
| Bank Of America, N.A. | Providence | RI | 09/2019 | 11/2020 |
| Citizen's Securities, Inc. | Barrington | RI | 06/2012 | 12/2016 |
| J.P. Morgan Securities, Llc | Wakefield | RI | 11/2020 | Present |
| Jp Morgan Chase Bank, N.A. | Wakefield | RI | 11/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-06-25 |
| S63 | Uniform Securities Agent State Law Examination | 2012-11-03 |
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