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555 South Flower Street 11Th Floor, Los Angeles, CA 90071 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-04-19 |
Branch Locations
400 Park Avenue, 8Th Floor, New York, NY 10022 • United States
Jersey City, NJ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | New York | NY | 03/2016 | 11/2016 |
| M&T Securities | Paramus | NJ | 03/2018 | 03/2020 |
| Wilmington Trust | Paramus | NJ | 11/2016 | 03/2020 |
| U.S. Bank | New York | NY | 03/2020 | 03/2024 |
| U.S. Bancorp Investments, Inc. | New York | NY | 02/2021 | 03/2024 |
| City National Securities, Inc. | New York | NY | 04/2024 | Present |
(1) Name of the other business: Paulus Hook Condominium Association, Inc. Whether the business is investment-related: Non investment-related Address of the other business: 209 Washington Street, Jersey City, NJ 07302 Nature of the other business: Non-profit organization Your position; title, or relationship with the other business: Board Member Start date of your relationship: 04/29/2026 Approximate number of hours/month you devote to the other business: 2 - 4 Number of hours you devote to the other business during securities trading hours: 0 Briefly describe your duties relating to the other business: I would serve as a voting board member for a condominium association but would not have check writing authority.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-06-27 |
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