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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-10-03 |
| OH | RA | APPROVED | 2024-09-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Shoptech | Cincinnati | OH | 04/2019 | 06/2021 |
| Dotloop | Cincinnati | OH | 09/2018 | 03/2019 |
| Paycor | Cincinnati | OH | 01/2017 | 08/2018 |
| Insight Global | Cincinnati | OH | 12/2015 | 12/2016 |
| Fidelity Investments | Covington | KY | 08/2021 | 04/2023 |
| Pruco Securities Llc | Cincinnati | OH | 05/2023 | 08/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Cincinnati | OH | 08/2024 | Present |
| Prudential | Cincinnati | OH | 06/2023 | 08/2024 |
| Bank Of America, N.A. | Cincinnati | OH | 11/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-05-10 |
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