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3 E 28Th Street 7Th Floor, New York, NY 10016 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2026-05-27 |
Branch Locations
3 E 28Th Street 7Th Floor, New York, NY 10016 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Scottrade,Inc. | Long Beach | CA | 06/2016 | 03/2018 |
| Neuberger Berman | New York | NY | 04/2018 | 01/2021 |
| Gilder Gagnon Howe & Co Llc | New York | NY | 01/2021 | 04/2022 |
| Forge Securities Llc | San Francisco | CA | 06/2022 | 04/2026 |
| Forge Global Advisors | San Francisco | CA | 06/2022 | 04/2026 |
| Npm Securities | New York | NY | 05/2026 | Present |
| Secondmarket Financial Llc | New York | NY | 05/2026 | Present |
SecondMarket Financial LLC - Compliance Director - NY NY. Started May 2026. Devotes time as needed between NPM and SecondMarket Financial.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-08-18 |
| S63 | Uniform Securities Agent State Law Examination | 2016-01-09 |
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