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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-05-24 |
| TX | RA | APPROVED | 2023-05-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Eustico Inc | Santa Barbara | CA | 01/2011 | Present |
| The Investment House Llc | Los Angeles | CA | 11/2014 | 11/2022 |
| Jse Inc | Santa Barbara | CA | 01/2011 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Santa Barbara | CA | 11/2022 | 05/2023 |
| Bank Of America, N.A. | Santa Barbara | CA | 11/2022 | 05/2023 |
| J.P. Morgan Securities Llc | Santa Barbara | CA | 05/2023 | Present |
| Jpmorgan Chase Bank, N.A. | Santa Barbara | CA | 05/2023 | Present |
Entity Name: Eustico INC Investment related: No Address: 850 ROCKBRIDGE ROAD,SANTA BARBARA CA 93108 Nature of the other business: Book Royalties Position/Title/Relationship: Board Member Start Date: 01/01/2011 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: EUSTICO, INC, 850 ROCKBRIDGE ROAD,SANTA BARBARA CA 93108, NON-INVESTMENT RELATED, VICE PRESIDENT AND DIRECTOR, S-CORP FOR ROYALTY ASSETS, 01/01/2011, PRIMARILY A SHAREHOLDER & ATTEND PERIODIC BOARD MEETINGS; Zero hours per month and during securities trading hours devoted to EUSTICO INC. This role is not similar to my JPMC role. Entity Name: JSE INC Investment related: No Address: SANTA BARBARA CA 93108, Nature of the other business: Book Royalties Position/Title/Relationship: Board Member Start Date: 01/01/2011 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: JSE, INC, 850 ROCKBRIDGE ROAD,SANTA BARBARA CA 93108, NON-INVESTMENT RELATED, VICE PRESIDENT AND DIRECTOR, S-CORP FOR ROYALTY ASSETS, 01/01/2011, PRIMARILY A SHAREHOLDER & ATTEND PERIODIC BOARD MEETINGS; Zero hours per month and during securities trading hours devoted to JSE INC. The role is not similar to my role at JPMC.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-01-28 |
| S65 | Uniform Investment Adviser Law Examination | 2014-12-27 |
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