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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2019-05-31 |
| TX | RA | APPROVED | 2019-05-31 |
Branch Locations
3920 Summit Plaza Drive, Louisville, KY 40241 • United States
6000 Crestwood Station, Crestwood, KY 40014 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co.,Inc. | Phoenix | AZ | 02/2016 | 07/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Lexington | KY | 09/2017 | 05/2019 |
| Bank Of America, N.A. | Lexington | KY | 09/2017 | 05/2019 |
| J.P. Morgan Securities Llc | Louisville | KY | 05/2019 | Present |
| Jp Morgan Chase Bank, N.A. | Louisville | KY | 05/2019 | Present |
| A&L Investments Llc | Lagrange | KY | 05/2024 | Present |
Entity Name: A&L Investments LLC Investment related: No Address: Lagrange, KY 40031 Nature of the other business: Real Estate Position/Title/Relationship: Owner/Partner Start Date: 05/27/2024 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: the business will own and managed a single family home as a rental property
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-11-07 |
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