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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| RI | RA | APPROVED | 2024-11-04 |
| TX | RA | APPROVED | 2024-11-04 |
Branch Locations
One Financial Plaza 19Th Floor, Providence, RI 02903 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jpmorgan Chase Bank, N.A. | Boston | MA | 08/2018 | 11/2024 |
| Jpmorgan Securities Llc | Boston | MA | 08/2018 | 11/2024 |
| Webster Bank, N.A. | Waterbury | CT | 05/2012 | 08/2018 |
| Mercury Investments Inc. | Johnston | RI | 03/2010 | Present |
| Morgan Stanley Smith Barney Llc | Providence | RI | 11/2024 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 11/2024 | Present |
Mercury Investments Inc. / Investment Related / Johnston, RI / General Business / Sole Proprietor / Start 23-Mar-2010 / 0 hours devoted per month / 0 during trading hours / Owner. *677580 - DAFL VENTURES LLC; Investment related: Yes; Johnston, Rhode Island; Rental Property; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 01/2026; During business hours: 0; After business hours: 0; Managing Member of single member LLC holding residential real estate for personal use and rental
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-01-06 |
| S63 | Uniform Securities Agent State Law Examination | 2018-11-29 |
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