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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-11-13 |
| FL | RA | APPROVED | 2020-11-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | Seattle | WA | 09/2020 | Present |
| Jpmorgan Chase Bank, N.A. | Seattle | WA | 09/2020 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Seattle | WA | 05/2016 | 04/2019 |
| Bank Of America | Seattle | WA | 05/2016 | 08/2020 |
Name: Northwest Area Foundation Investment Related: No Address: 60 Plato Blvd E, Suite 400, St. Paul, MN 55107 Nature: Non-profit organization that supports efforts to reduce poverty and achieve prosperity Position/Title: Board Member Start Date: 02/01/2019 Hours Per Mo/Trading Hours: 0-10 Duties: Serve as a member of the board 4x per year
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 1999-09-09 |
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